UC-4.5

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Main Page > Requirements > OAIS Use Cases > UC-4 Administration > UC-4.5 Establishing Standards and Policies


UC-4.5 Establishing Standards and Policies[edit]

Summary
Number

UC-4.5

Name

Establishing Standards and Policies

Context

UC-4 Administration

Sub-Use Cases

None

Overview
Actors
  • Establishing Standards and Policies
  • Management
  • Manage System Configuration
  • Physical Access Control
  • Archival Storage>Manage Storage Hierarchy
  • Ingest>Generate AIP
  • Preservation Planning>Develop Packaging design & Migration Plans
  • Preservation Planning>Develop Preservation Strategies and Standards
Description
Preconditions

None

Trigger

None - this is a continuing activity

Successful outcome
Steps
  1. Establishing Standards and Policies receives budget information and policies such as the OAIS charter, scope, resource utilization guidelines, and pricing policies from Management (OAIS 4.1.1.5, p4-11; OAIS Figure F-1: Composite of Functional Entities)
  2. Establishing Standards and Policies receives recommendations for archive system enhancement from Preservation Planning>Develop Preservation Strategies and Standards(OAIS 4.1.1.5, p4-11; OAIS Figure F-1: Composite of Functional Entities)
  3. Establishing Standards and Policies receives proposals for new archive data standards from Preservation Planning>Develop Preservation Strategies and Standards (OAIS 4.1.1.5, p4-11; OAIS Figure F-1: Composite of Functional Entities)
  4. Establishing Standards and Policies receives performance information and archive holding inventories from Manage System Configuration (OAIS 4.1.1.5, p4-11)
  5. Establishing Standards and Policies establishes standards and policies based on received information (OAIS 4.1.1.5, p4-11), including:
    1. Format standards
    2. Documentation standards
    3. Migration goals
    4. Storage management policies
    5. Migration policies
    6. Disaster recovery policies
    7. Security policies
    8. Physical access control policies
    9. Error control techniques
    10. System evolution policies
    11. Database administration policies
  6. Establishing Standards and Policies sends format standards to Ingest>Generate AIP (Figure F-1: Composite of Functional Entities Page F-2)
  7. Establishing Standards and Policies sends documentation standards to Ingest>Generate AIP (OAIS Figure F-1: Composite of Functional Entities)
  8. Establishing Standards and Policies sends Ingest procedures to Ingest>Generate AIP (Figure F-1: Composite of Functional Entities Page F-2)
  9. Establishing Standards and Policies sends approved standards to Preservation Planning>Develop Packaging design & Migration Plans (Figure F-1: Composite of Functional Entities Page F-2)
  10. Establishing Standards and Policies sends migration goals to Preservation Planning>Develop Packaging design & Migration Plans (Figure F-1: Composite of Functional Entities Page F-2)
  11. Establishing Standards and Policies sends storage management policies to Archival Storage>Manage Storage Hierarchy (Figure F-1: Composite of Functional Entities Page F-2)
  12. Establishing Standards and Policies sends disaster recovery policies] to Archival Storage>Disaster Recovery (Figure F-1: Composite of Functional Entities Page F-2) [shouldn't there be disaster recovery policies for Data Management>Administer Database too? – GD]
  13. Establishing Standards and Policies sends physical access control policies to Physical Access Control (Figure F-1: Composite of Functional Entities Page F-2)
  14. Establishing Standards and Policies sends system evolution policies to Manage System Configuration (Figure F-1: Composite of Functional Entities Page F-2)
  15. Establishing Standards and Policies provides Management with periodic reports (OAIS 4.1.1.5, p4-11; OAIS Figure F-1: Composite of Functional Entities)
  16. Establishing Standards and Policies applies error control techniques throughout the archive (OAIS 4.1.1.5, p4-11)


Exceptions
Documentation
Citations

OAIS Page 4-11, s. 4.1.1.5 "The Establish Standards and Policies function is responsible for establishing and maintaining the archive system standards and policies. It receives budget information and policies such as the OAIS charter, scope, resource utilization guidelines, and pricing policies from Management. It provides Management with periodic reports. It receives recommendations for archive system enhancement, and proposals for new archive data standards from Preservation Planning. It also receives performance information and archive holding inventories from Manage System Configuration. Based on these inputs, archive standards and policies are established and sent to other Administration functions and the other Functional Entities for implementation. The standards include format standards, documentation standards and the procedures to be followed during the Ingest process. It provides approved standards and migration goals to Preservation Planning. This function will also develop storage management policies (for the Archival Storage hierarchy), including migration policies to assure that archive storage formats do not become obsolete, and database administration policies. It will develop disaster recovery policies. It will also determine security policies for the contents of the archive, including those affecting Physical Access Control and the application of error control techniques throughout the archive."

OAIS Page 4-11, s. 4.1.1.5 "The Manage System Configuration function provides system engineering for the archive system to continuously monitor the functionality of the entire archive system and systematically control changes to the configuration. This function maintains integrity and tractability of the configuration during all phases of the system life cycle. It also audits system operations, system performance, and system usage. It sends report requests for system information to Data Management and receives reports; it receives operational statistics from Archival Storage. It summarizes those reports and periodically provides OAIS performance information and archive holding inventory reports to Preservation Planning. It sends performance information to Establish Standards and Policies. It receives migration packages from Preservation Planning. It receives system evolution policies from the Establish Standards and Procedures function. Based on these inputs it develops and implements plans for system evolution. It sends change requests, procedures and tools to Archive Information Update."

Diagrams
Notes
  • There should be disaster recovery policies (e.g. backup) for the data management database
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