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

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 m
DigCCurr Professional Institute

2. Slide 02 | 36
Introduction
• 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| 36
Agenda
# 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 | 36
Digital Curation Programs
Are 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 | 36
Digital Curation Programs
Are policies for your program:
In place?
Vetted?
Implemented?
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

6. Slide 06 | 36
Cornell: 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 | 36
Cornell: 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 | 36
Policies Yes | No | Don’t Know
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
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

9. Slide 09 | 36
Tools
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

10. Slide 10 | 36
Submission Agreements
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

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

12. Slide 12 | 36
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.
SOURCE: CCSDS, 2004
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

13. Slide 13 | 36
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.
SOURCE: TAPER, 2009
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

14. Slide 14 |36
Draft 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 | 36
Draft 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 | 36
Draft 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 | 36
Draft 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 | 36
Draft 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 | 36
Draft 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 | 36
Draft 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 | 36
Draft 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. DISCLAIMER
SABT: SUBMISSION
AGREEMENT BUILDER TOOL
http://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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 36
SA 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 | 67
SA 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 | 36
Considerations
Organizational 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 | 36
Policy Planning
Establish a policy planning group
Identify regulatory landscape
Devise policy framework
Draft, vet and revise
Make available
Establish regular reviews
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2010 /Carolyn Hank

35. Slide 35 | 36
Sources
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
Digital 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.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
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
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank

36. Slide 36 | 36
Merci.
CAROLYN HANK
Email: carolyn.hank@mcgill.ca
Phone: 514-398-4684
Defining Submission Agreements and Policies
DigCCurr Professional Institute
May 18, 2011 /Carolyn Hank