Defining Submission Agreements and Policies DigCCurr Professional Institute May 16-21, 2010 & January 5-6, 2011 Chapel Hill, North Carolina, USA Carolyn.

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Presentation transcript:

Defining Submission Agreements and Policies DigCCurr Professional Institute May 16-21, 2010 & January 5-6, 2011 Chapel Hill, North Carolina, USA Carolyn Hank May 18,2010 DigCCurr Professional Institute

Introduction DigCCurr Professional Institute Defining 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 Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 03| 35 #04Policy Overview #11Submission Agreements – Guidance – Elements #33Planning and Implementation #35Sources

Digital Curation Programs DigCCurr Professional Institute Defining 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 Institute Defining 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 Institute Defining 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,

DigCCurr Professional Institute Defining 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 Policies Yes | No | Don’t Know

Cornell: Institutional Readiness DigCCurr Professional Institute Defining 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 Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 09 | 35 SOURCE: Markey et al., 2007 MIRACLE Census Figure 6.2. Status of IR Policies at IMP Institutions Implemented Drafted

DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 10 | 35 Tools

Submission Agreements DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide11 | 35

Phases : Producer-Archive Interactions DigCCurr Professional Institute Defining 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 Institute Defining 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 Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 14 | 35 SOURCE: TAPER, 2009

Draft Element Set DigCCurr Professional Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 TOOL UPDATE New Slide 05/17/10 SOURCE: TAPER, 2009 DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank

SA Mandatory Elements DigCCurr Professional Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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 Institute Defining 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

Considerations Organizational IPR Privacy Services Language Workflow DigCCurr Professional Institute Defining 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 Planning Establish a policy planning group Identify regulatory landscape Devise policy framework Draft, vet and revise Make available Establish regular reviews DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 33 | 35

Sources DigCCurr Professional Institute Defining 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 B-1: Blue Book, Issue 1). Washington, DC: National Aeronautics and Space Administration, May Kenny, A. R. & Buckley, E. (2005). Developing Digital Preservation Programs: the Cornell Survey of Institutional Readiness. RLG DigiNews, 9 (4). 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: ROARMAP. SHERPA/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, Springfield, VA: Society for Imaging Science and Technology. Tufts Accessioning Program for Electronic Records (TAPER). Submission Agreements: Element Set,” and Submission Agreements: Case Study One,” January 3,

Thank You. CAROLYN HANK Mobile: Web: DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 35 | 35