1. 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

2. 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

3. 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

4. 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?

5. 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

6. 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, 2003-2005

7. 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

8. 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

9. 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

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

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

12. Phases : Producer-Archive Interactions DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 12 | 35 SOURCE: CCSDS, 2004

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. SABT: SUBMISSION AGREEMENT BUILDER TOOL http://tutaper.svn.sourceforge.net/viewvc/tutaper/ UPDATE New Slide 05/17/10 SOURCE: TAPER, 2009 DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

34. 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

35. 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

36. 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 651.0-B-1: Blue Book, Issue 1). Washington, DC: National Aeronautics and Space Administration, May 2004. http://public.ccsds.org/publications/archive/651x0b1.pdfhttp://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 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 http://www.clir.org/pubs/reports/pub140/contents.html#abb ROARMAP. http://www.eprints.org/openaccess/policysignup/http://www.eprints.org/openaccess/policysignup/ SHERPA/RoMEO. http://www.sherpa.ac.uk/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 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

37. Thank You. CAROLYN HANK Email: hcarolyn@email.unc.edu Mobile: 919.259.3191 Web: http://ils.unc.edu/~hcarolynhttp://ils.unc.edu/~hcarolyn DigCCurr Professional Institute Defining Submission Agreements and Policies May 18, 2010 /Carolyn Hank Slide 35 | 35