Critical Processes and OAIS Mandatory Responsibilities
- This document traces critical processes employed by York University Libraries (YUL) to meet the "mandatory responsibilities" of a digital repository as described in OAIS. This document identifies which processes are necessary for the repository to fulfill its mandatory responsibilities.
- OAIS 3.1: "Negotiate for and accept appropriate information from information Producers."
- YUL has a clearly defined process for negotiating with producers and ensuring that it acquires appropriate information. See the Rights Policy for more information.
- OAIS 3.1: "Obtain sufficient control of the information provided to the level needed to ensure Long-Term Preservation."
- YUL obtains rights from individual producers that give the repository control over all of the information deposited by the producer. The nature and scope of these rights varies by submitter. In cases where the repository takes responsibility for the preservation of information, the rights include provisions for YUL to receive a local copy of the information and host it in perpetuity. In some cases, the repository obtains the right to modify information in order to ensure long-term preservation and accessibility. See the Rights Policy for more information.
- OAIS 3.1: "Determine, either by itself or in conjunction with other parties, which communities should become the Designated Community and, therefore, should be able to understand the information provided."
- YUL developed a Designated Community Definition that describes the repository's primary, and secondary user communities.
- OAIS 3.1: "Ensure that the information to be preserved is Independently Understandable to the Designated Community. In other words, the community should be able to understand the information without needing the assistance of the experts who produced the information."
- YUL ensure that information is Independently Understandable by using file formats that are well understood and widely accepted by members of its Designated Community. See the Preservation Implementation Plan for more information. The repository maintains a log of formats archived and the number of files held in each format.
- To maintain understandability of files, YUL monitors digital curation practices for new trends and emerging standards (see Environmental Monitoring of Preservation Formats), carries out extensive usability testing, and solicits feedback from its Designated Community.
- OAIS 3.1: "Follow documented policies and procedures which ensure that the information is preserved against all reasonable contingencies, and which enable the information to be disseminated as authenticated copies of the original, or as traceable to the original."
- YUL has policies and procedures for the long-term preservation of information. See the Preservation Implementation Plan, and Definition of AIP for more information about the repository’s ingest, data management, and archival storages processes. AIPs are not deleted as a part of the repository’s normal operations.
- The repository maintains backups of all content. See the Backup Plan for more details.
- The repository is an integral component of disaster recovery planning for YUL.
- YUL negotiates submission policies and procedures with individual producers. See the Rights Policy and the Definition of SIP for more information.
- The repository has policies and procedures for the dissemination of information to its Designated Community. See the Definition of DIP for more information. To maintain the understandability and accessibility of disseminated information, YUL carries out extensive usability testing and solicits feedback from its Designated Community.
- To ensure authenticity, each AIP is linked to a specific object and source file by information in the preservation metadata. This information is not visible to the Designated Community in the DIP, but can made available if necessary. The repository’s DIPs are always generated from a single AIP.
- OAIS 3.1: "Make the preserved information available to the Designated Community."
- YUL disseminates the information to its Designated Community through its own user interfaces. See the Definition of DIP for more information about the repository's dissemination process. Depending on the license, access may be restricted to users affiliated with the York University community. See the Access Policy for more information.
Adapted from and inspired by:
- OCUL's Scholars Portal "Critical Processes and OAIS Mandatory Responsibilities".