(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.

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(May 2011) Defining Submission Agreements and Policies

  1. 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. 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. 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. 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. 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. 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. 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. 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. 9. Slide 09 | 36Tools Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  10. 10. Slide 10 | 36Submission Agreements Defining Submission Agreements and PoliciesDigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  11. 11. Slide 11 | 36Phases: Producer-Archive Interactions SOURCE: CCSDS, 2004 Defining Submission Agreements and Policies DigCCurr Professional Institute May 18, 2011 /Carolyn Hank
  12. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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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