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(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
(May 2011) Defining Submission Agreements and Policies
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(May 2011) Defining Submission Agreements and Policies

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Event: Module presented at DigCCurr Professional Institute (May 15-20, 2011 & January 4-5, 2012), Chapel Hill, NC; Date of presentation: May 17, 2011.

Event: Module presented at DigCCurr Professional Institute (May 15-20, 2011 & January 4-5, 2012), Chapel Hill, NC; Date of presentation: May 17, 2011.

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  • 1. Defining Submission Agreements and Policies DigCCurr Professional Institute May 15-20, 2011 & January 4-5, 2012 Chapel Hill, North Carolina, USA Carolyn Hank May 17,2011 Start: 8:30am End: 9:15 mDigCCurr Professional Institute
  • 2. Slide 02 | 36Introduction• 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 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 3. Slide 03| 36Agenda# 04 Policy Overview# 11 Submission Agreements – Guidance – Elements# 33 Planning and Implementation# 35 Sources Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 4. Slide 04 | 36Digital Curation ProgramsAre you in:Planning stage?Planning and pilot stage?Implementation stage? Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 5. Slide 05 | 36Digital Curation ProgramsAre policies for your program:In place?Vetted?Implemented? Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 6. Slide 06 | 36Cornell: Institutional Readiness Figure 1. Comparing the Availability of Policies to the Percent Vetted and Implemented, 2003-2005 SOURCE: Kenny & Buckley, 2005 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 7. Slide 07 | 36Cornell: Institutional Readiness Figure 2. Comprehensiveness of Digital Preservation Policies in 13 Institutions, 2005 SOURCE: Kenny & Buckley, 2005 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 8. Slide 08 | 36Policies Yes | No | Don’t KnowMission & GovernanceService PolicyCollection PolicyAccess PolicyPrivacy policyNon-Exclusive Deposit LicenseFormat Support PolicyWithdrawal PolicyMetadata PolicyContributor PoliciesPreservation Policy Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 9. Slide 09 | 36Tools Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 10. Slide 10 | 36Submission Agreements Defining Submission Agreements and PoliciesDigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 11. Slide 11 | 36Phases: Producer-Archive Interactions SOURCE: CCSDS, 2004 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 12. Slide 12 | 36Definition (PAIMAS)Submission Agreement: The agreement reached between an OAIS andthe Producer that specifies a data model for the Data SubmissionSession. This data model identifies format/contents and the logicalconstructs used by the Producer and how they are represented oneach media delivery or in a telecommunication session.In the framework of this abstract methodology, the SubmissionAgreement will also deal with other aspects such as validation, changemanagement and schedule. SOURCE: CCSDS, 2004 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 13. Slide 13 | 36Standing/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 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 14. Slide 14 |36Draft Element Set• Submission Agreement Management• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 15. Slide 15 | 36Draft Element Set• Submission Agreement - Submission Agreement ID Management - Endorsement Date• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 16. Slide 16 | 36Draft Element Set• Submission Agreement - Archive ID Management - Warrant to Collect• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 17. Slide 17 | 36Draft Element Set• Submission Agreement - Accession Number Management - Activity Log Number• Archive - Survey Report ID• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 18. Slide 18 | 36Draft Element Set• Submission Agreement - Records Creator Records Management - Recording System• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 19. Slide 19 | 36Draft Element Set - General Records Description• Submission Agreement - Record Type Record Management - Format Type• Archive - Data Span• Ingest Project Management - Extent• Producer - Copyright• Records - Access• Producer to Archive - Arrangement & Naming• Archival Management Schedule - Retention Period SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 20. Slide 20 | 36Draft Element Set• Submission Agreement - SIP Creation & Transfer Management - Transfer Date• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 21. Slide 21 | 36Draft Element Set• Submission Agreement - SIP to AIP Management - Archival Description• Archive Standard• Ingest Project Management - Respect de Fonds• Producer• Records• Producer to Archive• Archival Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 22. DISCLAIMERSABT: SUBMISSIONAGREEMENT BUILDER TOOLhttp://tutaper.svn.sourceforge.net/viewvc/tutaper/ SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 23. Slide 23 | 36SA Mandatory Elements• Contact Information• Dataset Identification Information• Dataset Description Info• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 24. Slide 24 | 36SA Mandatory Elements• Contact Information - Primary Contact / Producer• Dataset Identification - Primary Contact / Archive Information - Technical Contact / Producer• Dataset Description Info - Technical Contact / Archive• Submission Information - Metadata Contact / Producer• Legal and Contractual - Metadata Contact / Archive Obligations - Designated Community• Access Conditions Contacts• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 25. Slide 25 | 36SA Mandatory Elements• Contact Information - Title• Dataset Identification - Producer Information - Other contributor• Dataset Description Info - ID• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 26. Slide 26 | 36SA Mandatory Elements• Contact Information - Descriptive Information• Dataset Identification - Preservation Descriptive Information Information• Dataset Description Info - Purpose• Submission Information - Extent• Legal and Contractual - Volume Obligations - Data dictionary• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 27. Slide 27 | 36SA Mandatory Elements• Contact Information - Transfer procedures• Dataset Identification - File Formats Information - Metadata capture• Dataset Description Info - Status reporting• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 28. Slide 28 | 36SA Mandatory Elements• Contact Information - Non-Exclusive Deposit• Dataset Identification License Information - Other regulations• Dataset Description Info• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 29. Slide 29 | 36SA Mandatory Elements• Contact Information - Designated communities• Dataset Identification - Authorization and Information authentication controls• Dataset Description Info - Use licenses• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 30. Slide 30 | 36SA Mandatory Elements• Contact Information - Validation mechanisms• Dataset Identification Information• Dataset Description Info• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 31. Slide 31 | 36SA Mandatory Elements• Contact Information - Beginning date• Dataset Identification - End date Information - Frequency• Dataset Description Info• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 32. Slide 32 | 67SA Mandatory Elements• Contact Information - Scenarios• Dataset Identification - Decision-making Information• Dataset Description Info• Submission Information• Legal and Contractual Obligations• Access Conditions• Validation Information• Schedule• Change Management SOURCE: TAPER, 2009 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 33. Slide 33 | 36ConsiderationsOrganizational E.g., Statutory body; Institutional mandates IPR E.g., Copyright; Publisher agreements E.g., Personal identifiers, Culturally sensitive Privacy information Services E.g., Authentication and Authorization Language E.g., Understandability; Consistency Workflow E.g., Transfer scenarios; PAIMAS stages Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 34. Slide 34 | 36Policy PlanningEstablish a policy planning groupIdentify regulatory landscapeDevise policy frameworkDraft, vet and reviseMake availableEstablish regular reviews Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2010 /Carolyn Hank
  • 35. Slide 35 | 36SourcesConsultative 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.pdfDigital 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.htmlMarkey, 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#abbTufts 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 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  • 36. Slide 36 | 36Merci.CAROLYN HANKEmail: carolyn.hank@mcgill.caPhone: 514-398-4684 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank

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