Evelyn McLellan at 18:26, 4 September 2009

2009-09-04T18:26:18Z

Evelyn McLellan: Created page with 'Main Page > Requirements > OAIS Use Cases > UC-4 Administration > UC-4.6 Auditing Submissions'

2009-09-04T18:19:26Z

Created page with 'Main Page > Requirements > OAIS Use Cases > UC-4 Administration > UC-4.6 Auditing Submissions'

New page

[[Main Page]] > [[Requirements]] > [[OAIS Use Cases]] > [[UC-4|UC-4 Administration]] > UC-4.6 Auditing Submissions

← Older revision		Revision as of 18:26, 4 September 2009
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	[[Main Page]] > [[Requirements]] > [[OAIS Use Cases]] > [[UC-4\|UC-4 Administration]] > UC-4.6 Auditing Submissions		[[Main Page]] > [[Requirements]] > [[OAIS Use Cases]] > [[UC-4\|UC-4 Administration]] > UC-4.6 Auditing Submissions
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		+	{\| border="1" cellpadding="10" cellspacing="0" width=90%
		+	\| colspan="4" style="background-color:silver;"\|
		+	===UC-4.6 Auditing Submissions===
		+	\|-
		+	\|colspan="2" style="background-color:#E0FFFF;"\|'''Summary'''
		+	\|-
		+	\|Number
		+	\|
		+	UC-4.6
		+	\|-
		+	\|Name
		+	\|
		+	Auditing Submissions
		+	\|-
		+	\|Context
		+	\|
		+	[[UC-4 \| UC-4 Administration]]
		+	\|-
		+	\|Sub-Use Cases
		+	\|
		+	None
		+	\|-
		+	\|Overview
		+	\|
		+	Submissions from both internal (updated AIPs), and external (SIPs from '''Producer''', are audited for completeness, understandability and to ensure all parts are appropriate for inclusion.
		+	\|-
		+	\|Actors
		+	\|
		+	*'''Audit Submission'''
		+	*'''Negotiate Submission Agreement'''
		+	*'''Ingest>Generate AIP'''
		+	*'''Preservation Planning>Develop Packaging Designs and Migration Plans'''
		+	*'''Producer'''
		+	\|-
		+	\|colspan="2" style="background-color:#E0FFFF;"\|'''Description'''
		+	\|-
		+	\|Preconditions
		+	\|
		+	*Generate AIP has received/created a SIP/AIP
		+	*Submission agreement has been negotiated
		+	*Information Package designs have been created by '''Preservation Planning>Develop Packaging Design and Migration Plans'''
		+	\|-
		+	\|Trigger
		+	\|
		+	'''Generate AIP submits a SIP or AIP for audit [[UC-1.2\| (UC-1.2 Step 12)]]
		+	\|-
		+	\|Successful outcome
		+	\|
		+	Audit report sent to '''Ingest>Generate AIP'''
		+	\|-
		+	\|Steps
		+	\|
		+
		+	#'''Audit Submission''' receives SIP design and SIP (for approval) from '''Negotiate Submission Agreement''' (Figure F-1: Composite of Functional Entities, Page F-2)
		+	#'''Audit Submission''' receives AIP/SIP reviews from '''Preservation Planning>Develop Packaging Designs and Migration Plans''' (OAIS 4.1.1.5, Page 4-11; Figure F-1: Composite of Functional Entities, Page F-2)
		+	#'''Audit Submission''' receives SIP or AIP from '''Ingest>Generate AIP''' (Figure F-1: Composite of Functional Entities, Page F-2)
		+	#'''Audit Submission''' verifies that submissions (SIP or AIP) meet the specifications of the Submission Agreement (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' verifies that the quality of the data meets the requirements of the archive and the review committee (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' verifies that there is adequate Representation Information and PDI to ensure that the Content Information is understandable and independently usable to the [[Designated Community]] (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' identifies portions of the SIP that must be resubmitted (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' identifies portions of the SIP that must be excluded from the submission (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' prepares a final ingest report (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' provides an audit report to '''Ingest>Generate AIP''' (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' reports any liens to the '''Producer''' (OAIS 4.1.1.5, Page 4-12)
		+	#'''Audit Submission''' provides a final ingest report to the '''Producer''' (OAIS 4.1.1.5, Page 4-12; Figure F-1: Composite of Functional Entities, Page F-2)
		+	#'''Audit Submission''' provides a final ingest report to '''Negotiate Submission Agreement''' (OAIS 4.1.1.5, Page 4-12; Figure F-1: Composite of Functional Entities, Page F-2)
		+	#(conditional: see Exceptions) '''Audit Submission''' receives an appeal from the '''Producer''' (OAIS 4.1.1.5, Page 4-12; Figure F-1: Composite of Functional Entities, Page F-2)
		+	\|-
		+	\|Exceptions
		+	\|
		+	Lien exists and is reported to the '''Producer''':
		+	*'''Producer''' resubmits the SIP to '''Ingest>Receive Submission''' or
		+	*'''Producer''' appeals the decision to '''Audit Submission'''
		+
		+	Some portions of the SIP are determined not to be appropriate for inclusion in the archive
		+	*'''Producer''' resubmits the SIP to '''Ingest>Receive Submission''' and/or
		+	*Some portions of the SIP are excluded (not submitted)
		+	\|-
		+	\|colspan="2" style="background-color:#E0FFFF;"\|'''Documentation'''
		+	\|-
		+	\|Citations
		+	\|
		+	OAIS Page 4-11 & 4-12, s. 4.1.1.5 "The Audit Submission function will verify that submissions (SIP or AIP) meet the specifications of the Submission Agreement. This function receives AIP/SIP reviews from Preservation Planning and may also involve an outside committee (e.g., science and technical review). The audit process must verify that the quality of the data meets the requirements of the archive and the review committee. It must verify that there is adequate Representation Information and PDI to ensure that the Content Information is understandable and independently usable to the Designated Community. The formality of the review will vary depending on internal archive policies. The Audit process may determine that some portions of the SIP are not appropriate for inclusion in the archive and must be resubmitted or excluded. An audit report is provided to Ingest. After the audit process is completed, any liens are reported to the Producer, who will then resubmit the SIP to Ingest or appeal the decision to Administration. After the audit is completed, a final ingest report is prepared and provided to the Producer and to Negotiate Submission Agreement. Audit methods potentially include sampling, periodic review, and peer review."
		+	\|-
		+	\|Diagrams
		+	\|
		+	\|-
		+	\|colspan="2" style="background-color:#E0FFFF;"\|'''Notes'''
		+	\|-
		+	\|
		+	\|
		+	*The AIP/SIP reviews may also involve an outside committee (e.g., science and technical review) (OAIS Page 4-11)
		+	*Lien isn't part of the OAIS Glossary but it would be useful to have their definition in this context.
		+	\|}

UC-4.6 - Revision history

Evelyn McLellan at 18:26, 4 September 2009

Evelyn McLellan: Created page with 'Main Page > Requirements > OAIS Use Cases > UC-4 Administration > UC-4.6 Auditing Submissions'