UC-4.6

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UC-4.6 Auditing Submissions
Summary
Number	UC-4.6
Name	Auditing Submissions
Context	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
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 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)
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
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.