Specification for Submission Information Packages
Preface
I. Aim of the Specification
This document is one of several related specifications which aim to provide a common set of usage descriptions of international standards for packaging digital information for archiving purposes. These specifications are based on common, international standards for transmitting, describing and preserving digital data. They also utilise the Reference Model for an Open Archival Information System (OAIS), which has Information Packages as its foundation. Familiarity with the core functional entities of OAIS is a prerequisite for understanding the specifications.
The specifications are designed to help data creators, software developers, and digital archives to tackle the challenge of short-, medium- and long-term data management and reuse in a sustainable, authentic, cost-efficient, manageable and interoperable way. A visualisation of the current specification network can be seen here:
Figure I: Diagram showing E-ARK specification dependency hierarchy. Note that the image only shows a selection of the published CITS and isn’t an exhaustive list.
Overview of the E-ARK Specifications
Common Specification for Information Packages (E-ARK CSIP)
This document introduces the concept of a Common Specification for Information Packages (CSIP). The main purposes of CSIP are to:
- Establish a common understanding of the requirements which need to be met to achieve interoperability of Information Packages.
- Establish a common base for the development of more specific Information Package definitions and tools within the digital preservation community.
- Propose the details of an XML-based implementation of the requirements using, to the largest possible extent, standards which are widely used in international digital preservation.
Ultimately the goal of the Common Specification is to reach a level of interoperability between all Information Packages so that tools implementing the Common Specification can be adopted by institutions without the need for further modifications or adaptations.
Specification for Submission Information Packages (E-ARK SIP)
The main aims of this specification are to:
- Define a general structure for a Submission Information Package format suitable for a wide variety of archival scenarios, such as document and image collections, databases or geospatial data.
- Enhance interoperability between Producers and Archives.
- Recommend best practices regarding the structure, content and metadata of Submission Information Packages.
Specification for Archival Information Packages (E-ARK AIP)
The main aims of this specification are to:
- Define a generic structure of the AIP format suitable for a wide variety of data types, such as document and image collections, archival records, databases or geospatial data.
- Recommend a set of metadata related to the structural and the preservation aspects of the AIP as implemented by the eArchiving Reference Implementation (earkweb).
- Ensure the format is suitable to store large quantities of data.
Specification for Dissemination Information Packages (E-ARK DIP)
The main aims of this specification are to:
- Define a generic structure of the DIP format suitable for a wide variety of archival records, such as document and image collections, databases or geographical data.
- Recommend a set of metadata related to the structural and access aspects of the DIP.
Content Information Type Specifications (E-ARK CITS)
The main aim of a Content Information Type Specification (CITS) is to:
- Define, in technical terms, how data and metadata must be formatted and placed within a CSIP Information Package to achieve interoperability in exchanging specific Content Information.
The number of possible Content Information Type Specifications is unlimited. For a list of existing Content Information Type Specifications see the DILCIS Board webpage (DILCIS Board, http://dilcis.eu/).
II. Organisational Support
This specification is maintained by the Digital Information LifeCycle Interoperability Standards Board (DILCIS Board, http://dilcis.eu/). The role of the DILCIS Board is to enhance and maintain the draft specifications developed in the European Archival Records and Knowledge Preservation Project (E-ARK project, http://eark-project.com/), which concluded in January 2017. The Board consists of eight members, but no restriction is placed on the number of participants taking part in the work. All Board documents and specifications are stored in GitHub (https://github.com/DILCISBoard/), while published versions are made available on the Board webpage. The DILCIS Board have been responsible for providing the core specifications to the Connecting Europe Facility eArchiving Building Block https://ec.europa.eu/cefdigital/wiki/display/CEFDIGITAL/eArchiving/.
III. Authors & Revision History
A full list of contributors to this specification, as well as the revision history, can be found in the Postface material.
E-ARK SIP
Specification for Submission Information Packages
Version: 2.1.0
Date: 15.10.2021
1. Introduction
1.1. Scope and purpose
1.2. Target audience
1.3. Definition of SIP
2. Structure
3. METS
3.1. Extended use of the METS root element (element mets
)
3.2. Extended use of the METS header (element metsHdr
)
3.3. Extended use of the METS descriptive metadata section (element dmdSec
)
3.4. Extended use of METS administrative metadata section (element amdSec
)
3.5. Extended use of the METS file section (element fileSec
)
3.6. Extended use of the METS structural map (element structMap
)
4. Content Information Type Specifications
4.1. Submission Agreement
5. Appendices
5.1. Appendix A: Submission Agreement semantic elements
5.1.1. Project information
5.1.2. Change management
5.1.3. Producer, Archive and Designated Community
5.1.4. Submission Information Package (SIP)
5.1.5. Submission Session Information
5.1.6. Ingest
5.1.7. Submission risks
5.2. Appendix B: E-ARK Information Package METS example
5.3. Appendix C: External Schema
5.3.1. E-ARK SIP METS Extension
5.3.2. E-ARK CSIP METS Extension
5.4. Appendix D: External Vocabularies
5.4.1. Package status
5.4.2. Alternative record ID’s
5.4.3. Note type
5.4.4. OAIS Package type
5.5. Appendix E: A Full List of E-ARK SIP Requirements
6. Glossary
1. Introduction
According to the Open Archival Information System Reference Model (OAIS) every submission of information to an archive occurs as one or more discrete transmissions of Submission Information Packages (SIP). Unfortunately, the OAIS itself does not specify how these information packages should look like.
The EU funded E-ARK project (2014-2017) first acknowledged this problem and started to develop a solution in the form of a package specification. This specification is now part of a set of specifications currently managed by an independent body named the Digital Information LifeCycle Interoperability Standards Board (DILCIS Board).
1.1. Scope and purpose
This document describes how to produce and parse E-ARK Submission Information Packages (SIP). The main objectives of this specification are to:
- Define the general structure for a Submission Information Package format in a way that it is suitable for a wide variety of archival scenarios, e.g. document and image collections, databases or geographical data;
- Enhance interoperability between Producers and Archives;
- Recommend best practices regarding metadata, content and structure of Submission Information Packages.
1.2. Target audience
The target audience for this specification is records creators, archival institutions and software providers that are responsible with preparing, packaging, delivering and receiving packages of information to be archived in an OAIS, i.e. pre-ingest and ingest functional units.
1.3. Definition of SIP
The OAIS reference model defines a Submission Information Package (SIP) as:
An Information Package that is delivered by the Producer to the OAIS for use in the construction or update of one or more AIPs and/or the associated Descriptive Information.
The E-ARK SIP follows this definition and builds on the E-ARK Common Specification for Information Packages by extending it to support specific requirements related to the process of selecting, packaging, transmitting, receiving, validating and ingesting information originally maintained by a Producer.
In summary, the SIP constitutes a package of information that is ready to be sent by a Producer to an Archive in order to be ingested by the OAIS.
2. Structure
The SIP specification follows a structure that is common to all Information Packages in the E-ARK set of specifications. The common structure is fully described in the Common Specification for Information Packages (see Section 4. CSIP structure).
In its simplest form, an SIP consists of metadata and zero or more representations, also composed of data
and metadata
, as seen in Figure 2. A package with zero representations means that it only includes metadata. This is a special type of Information Package that enables Producers to deliver updates to the metadata to previously ingested packages.
Figure 2: Simplified view of a package structure.
According to PREMIS Version 3.0:
A representation is a set of files, including structural metadata, needed for a complete and reasonable rendition of an Intellectual Entity. For example, a journal article may be complete in one PDF file. This single file constitutes the representation. Another journal article may consist of one SGML file and two image files. These three files constitute the representation. A third article may be represented by one TIFF image for each of 12 pages plus an XML file of structural metadata showing the order of the pages. These 13 files constitute the representation.
As one SIP can contain more than one representation of the same intellectual entity, representations MUST be placed within distinct folders (i.e., rep-001
, rep-002
, rep-n
under the representations
folder). In contrast, metadata may exist within each representation folder or at the root level (next to the representations
folder). Metadata can serve multiple purposes, the most common one being the support for discoverability of resources within the OAIS (i.e. descriptive metadata).
If metadata is stored at the root level of the package, then there is generally no need to include a metadata
folder at the representation level. In such cases, the metadata
folder under representations is considered optional. The SIP also accounts for the following additional folders that can exist both at the root level or under the representations
folder (Figure 3):
documentation
– for including additional documentation about thedata
included in the package (e.g. a data dictionary for a SIARD file);schemas
– for storing schemas of XML files included in the data or metadata.
Figure 3: Example of the full use of the SIP structure
The details of the internal structure of an SIP including its data
and metadata
folders can be further specified by Submission Agreements. These can exist for a particular submission, a special collection or a specific Producer.
3. METS
The Metadata Encoding and Transmission Standard (METS) is a standard for encoding descriptive, administrative, and structural metadata expressed using the XML Schema Language.
The METS Schema for an E-ARK SIP is the same as for an E-ARK AIP or an E-ARK DIP. The actual requirements of the METS used in the E-ARK SIP are defined in the CSIP on section “5.3 Use of METS”. However, there are some small differences between a METS instance of an E-ARK SIP and an E-ARK CSIP. Most of the differences consist of setting values of particular attributes, defining controlled vocabularies or making optional elements mandatory.
These differences are manifested by means of a METS profile. The SIP METS profile extends the CSIP METS profile. As stated before, in this document only the differences between the SIP METS and the CSIP METS are highlighted. In order to fully understand how to create or interpret the METS file included within an SIP, it is necessary to read the CSIP.
3.1. Extended use of the METS root element (element mets
)
The root of a METS document can contain a number of optional attributes, namespaces (xmlns:
), locations for external schemas (xsi:
) and a number of other elements.
The following table describes the differences in the mets
element between the E-ARK SIP and the CSIP.
Example: METS root element example with values from E-ARK-SIP as well as CS IP.
<mets:mets xmlns:mets="http://www.loc.gov/METS/" xmlns:csip="https://DILCIS.eu/XML/METS/CSIPExtensionMETS" xmlns:sip="https://DILCIS.eu/XML/METS/SIPExtensionMETS" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:xlink="http://www.w3.org/1999/xlink" OBJID="uuid-4422c185-5407-4918-83b1-7abfa77de182" LABEL="Accounting records of 2017" TYPE="OTHER" csip:OTHERTYPE="Accounting" PROFILE="https://earksip.dilcis.eu/profile/E-ARK-SIP.xml" xsi:schemaLocation="http://www.loc.gov/METS/ http://www.loc.gov/standards/mets/mets.xsd http://www.w3.org/1999/xlink http://www.loc.gov/standards/mets/xlink.xsd https://DILCIS.eu/XML/METS/CSIPExtensionMETS https://earkcsip.dilcis.eu/schema/DILCISExtensionMETS.xsd https://DILCIS.eu/XML/METS/SIPExtensionMETS https://earksip.dilcis.eu/schema/DILCISExtensionSIPMETS.xsd">
</mets:mets>
Example: METS example of altrecordID’s, and SIP agents following the SIP profile as well as CS IP.
<mets:metsHdr CREATEDATE="2018-04-24T14:37:49.602+01:00" LASTMODDATE="2018-04-24T14:37:49.602+01:00" RECORDSTATUS="NEW" csip:OAISPACKAGETYPE="SIP">
<mets:agent ROLE="ARCHIVIST" TYPE="ORGANIZATION">
<mets:name>The Swedish health agency</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE201345098701</mets:note>
</mets:agent>
<mets:agent ROLE="CREATOR" TYPE="ORGANIZATION">
<mets:name>The agency, Personnel</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE2098109810-AF87</mets:note>
</mets:agent>
<mets:agent ROLE="CREATOR" TYPE="INDIVIDUAL">
<mets:name>Sven Svensson</mets:name>
<mets:note>Phone: 08-123456, Email: sven.svensson@mail.mail</mets:note>
</mets:agent>
<mets:agent ROLE="PRESERVATION" TYPE="ORGANIZATION">
<mets:name>The archives</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">ID:1234567</mets:note>
</mets:agent>
<mets:altRecordID TYPE="SUBMISSIONAGREEMENT">http://submissionagreement.kb.se/dnr331-1144-2011/20120711/</mets:altRecordID>
<mets:altRecordID TYPE="PREVIOUSSUBMISSIONAGREEMENT">FM 12-2387/12726, 2007-09-19</mets:altRecordID>
<mets:altRecordID TYPE="REFERENCECODE">SE/RA/123456/24/P</mets:altRecordID>
<mets:altRecordID TYPE="PREVIOUSREFERENCECODE">SE/FM/123/123.1/123.1.3</mets:altRecordID>
</mets:metsHdr>
3.2. Extended use of the METS header (element metsHdr
)
The METS header element <metsHdr>
includes information about the creator of the submission package, the original creator of the data, contact information of the person delivering the SIP, among other actors. These entities are typically called “agents” (see element metsHdr/agent
).
The metsHdr
is also used to indicate the type of behaviour to be expected from the OAIS when processing a particular SIP. For example, one might indicate that an SIP should be used to “replace” a particular AIP in the repository or that an SIP is meant for “testing” purposes and therefore it should not create an AIP at the end of the ingest process (see attribute metsHdr/@RECORDSTATUS
).
It is also in the metsHdr
that the Submission Agreement to which a particular SIP conforms can be identified (see metsHdr/altrecordID/@TYPE=”SUBMISSIONAGREEMENT
).
The following table describes the differences in the metsHdr
between an E-ARK SIP and the CSIP.
ID | Name, Location & Description | Card & Level |
---|---|---|
SIP3 | Package status metsHdr/@RECORDSTATUS A way of indicating the status of the package and to instruct the OAIS on how to properly handle the package. If not set, the expected behaviour is equal to NEW. See also: Package status |
0..1 MAY |
SIP4 | OAIS Package type information metsHdr/@csip:OAISPACKAGETYPE @csip:OAISPACKAGETYPE is used with the value “SIP”. See also: OAIS Package type |
1..1 MUST |
SIP5 | Submission agreement metsHdr/altRecordID A reference to the Submission Agreement associated with the package. @TYPE is used with the value “SUBMISSIONAGREEMENT”. Example: RA 13-2011/5329; 2012-04-12 Example: http://submissionagreement.kb.se/dnr331-1144-2011/20120711/ Note: It is recommended to use a machine-readable format for a better description of a submission agreement. For example, the submission agreement developed by Docuteam GmbH http://www.loc.gov/standards/mets/profiles/00000041.xml See also: Alternative record ID’s |
0..1 MAY |
SIP6 | Previous Submission agreement metsHdr/altRecordID An optional reference to a previous submission agreement(s) which the information may have belonged to. @TYPE is used with the value “PREVIOUSSUBMISSIONAGREEMENT”. Example: FM 12-2387/12726, 2007-09-19 Example: http://submissionagreement.kb.se/dnr331-1144-2011/20120711/ Note: It is recommended to use a machine-readable format for a better description of a submission agreement. For example, the submission agreement developed by Docuteam GmbH http://www.loc.gov/standards/mets/profiles/00000041.xml See also: Alternative record ID’s |
0..* MAY |
SIP7 | Archival reference code metsHdr/altRecordID An optional reference code indicating where in the archival hierarchy the package shall be placed in the OAIS. @TYPE is used with the value “REFERENCECODE”. Example: FM 12-2387/12726, 2007-09-19 See also: Alternative record ID’s |
0..1 MAY |
SIP8 | Previous archival reference code metsHdr/altRecordID In cases where the SIP originates from other institutions maintaining a reference code structure, this element can be used to record these reference codes and therefore support the provenance of the package when a whole archival description is not submitted with the submission. @TYPE is used with the value “PREVIOUSREFERENCECODE”. Example: SE/FM/123/123.1/123.1.3 See also: Alternative record ID’s |
0..* MAY |
SIP9 | Archival creator agent metsHdr/agent A wrapper element that enables to encode the name of the organisation or person that originally created the data being transferred. Please note that this might be different from the organisation which has been charged with preparing and sending the SIP to the archives. |
0..1 MAY |
SIP10 | Archival creator agent role metsHdr/agent/@ROLE The role of the person(s) or institution(s) responsible for the document/collection. |
1..1 MUST |
SIP11 | Archival creator agent type metsHdr/agent/@TYPE The type of the archival creator agent is “ORGANIZATION” or “INDIVIDUAL”. |
1..1 MUST |
SIP12 | Archival creator agent name metsHdr/agent/name The name of the organisation(s) that originally created the data being transferred. Please note that this might be different from the organisation which has been charged with preparing and sending the SIP to the archives. |
0..* MAY |
SIP13 | Archival creator agent additional information metsHdr/agent/note The archival creator agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP14 | Classification of the archival creator agent additional information metsHdr/agent/note/@csip:NOTETYPE The archival creator agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
SIP15 | Submitting agent metsHdr/agent The name of the organisation or person submitting the package to the archive. |
1..1 MUST |
SIP16 | Submitting agent role metsHdr/agent/@ROLE The role of the person(s) or institution(s) responsible for creating and/or submitting the package. |
1..1 MUST |
SIP17 | Submitting agent type metsHdr/agent/@TYPE The type of the submitting agent is “ORGANIZATION” or “INDIVIDUAL”. |
1..1 MUST |
SIP18 | Submitting agent name metsHdr/agent/name Name of the organisation submitting the package to the archive. |
1..1 MAY |
SIP19 | Submitting agent additional information metsHdr/agent/note The submitting agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP20 | Classification of the submitting agent additional information metsHdr/agent/note/@csip:NOTETYPE The submitting agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
SIP21 | Contact person agent metsHdr/agent Contact person for the submission. |
0..* MAY |
SIP22 | Contact person agent role metsHdr/agent/@ROLE The role of the contact person is “CREATOR”. |
1..1 MUST |
SIP23 | Contact person agent type metsHdr/agent/@TYPE The type of the contact person agent is “INDIVIDUAL”. |
1..1 MUST |
SIP24 | Contact person agent name metsHdr/agent/name Name of the contact person. |
1..1 MUST |
SIP25 | Contact person agent additional information metsHdr/agent/note The contact person agent has one or more notes giving the contact information. |
0..* MAY |
SIP26 | Preservation agent metsHdr/agent The organisation or person that preserves the package. |
0..1 MAY |
SIP27 | Preservation agent role metsHdr/agent/@ROLE The role of the preservation agent is “PRESERVATION”. |
1..1 MUST |
SIP28 | Preservation agent type metsHdr/agent/@TYPE The type of the submitting agent is “ORGANIZATION”. |
1..1 MUST |
SIP29 | Preservation agent name metsHdr/agent/name Name of the organisation preserving the package. |
1..1 MAY |
SIP30 | Preservation agent additional information metsHdr/agent/note The preservation agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP31 | Classification of the preservation agent additional information metsHdr/agent/note/@csip:NOTETYPE The preservation agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
Example: METS example of the archival creator agent described in SIP9 - SIP14
<mets:agent ROLE="ARCHIVIST" TYPE="ORGANIZATION">
<mets:name>The Swedish health agency</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE201345098701</mets:note>
</mets:agent>
Example: METS example of the submitting agent described in SIP15 - SIP20
<mets:agent ROLE="CREATOR" TYPE="ORGANIZATION">
<mets:name>The agency, Personnel</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE2098109810-AF87</mets:note>
</mets:agent>
Example: METS example of the contact person agent described in SIP21 - SIP25
<mets:agent ROLE="CREATOR" TYPE="INDIVIDUAL">
<mets:name>Sven Svensson</mets:name>
<mets:note>Phone: 08-123456, Email: sven.svensson@mail.mail</mets:note>
</mets:agent>
Example: METS example of the preservation agent described in SIP26 - SIP31
<mets:agent ROLE="PRESERVATION" TYPE="ORGANIZATION">
<mets:name>The archives</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">ID:1234567</mets:note>
</mets:agent>
3.3. Extended use of the METS descriptive metadata section (element dmdSec
)
The METS descriptive metadata section <dmdSec>
is responsible for recording descriptive metadata for all the data items included in the package.
The SIP specification itself does not prescribe of any particular metadata format. It is a role of the OAIS together with the Producer to set the rules in terms of descriptive metadata. These rules should be set and agreed on in the Submission Agreement.
In this regard, the SIP specification does not change or extend any of the requirements already defined by the Common Specification for Information Packages (for more information see section 5.3.3 of the CSIP).
3.4. Extended use of METS administrative metadata section (element amdSec
)
The METS administrative metadata section <amdSec>
is used to include or reference technical and preservation metadata.
Although seldom used, preservation metadata can be included in an SIP. The guide on Using PREMIS with METS provides recommendations on how to use the <amdSec>
element to reference PREMIS metadata. Preservation metadata is typically used to record the history of preservation events that influence the state of the information package. Normally, these take place after the package has been ingested into a digital repository, however an example of preservation event that can occur prior to the ingest process is the digitization of analogue material. This event takes place before the information is ingested and can be included in an SIP.
The SIP specification does not change or extend any of the requirements already defined by the Common Specification for Information Packages (for more information see section 5.3.4. of the CSIP).
3.5. Extended use of the METS file section (element fileSec
)
The METS file section element <fileSec>
is used to describe all the components included in the information package which have not been already included in the amdSec
and dmdSec
elements.
The main purpose of the METS file section is to serve as a “table of contents” or “manifest” for all the files included in the package, thus allowing the OAIS to validate the integrity and completeness of the files included in the package. This means that for all the files included in the package, their location and checksum need to be available and described in the fileSec
element. That includes files in the data
, schemas
and in the documentation
folders.
The following table describes the differences in the fileSec
between an E-ARK SIP and the CSIP.
Example: METS example of an SIP with file information together with the info from CS IP.
<mets:file ID="docx-file" MIMETYPE="application/vnd.openxmlformats-officedocument.wordprocessingml.document" SIZE="2554366" CREATED="2012-08-15T12:08:15.432+01:00" CHECKSUM="91B7A2C0A1614AA8F3DAF11DB4A1C981F14BAA25E6A0336F715B7C513E7A1557" CHECKSUMTYPE="SHA-256" sip:FILEFORMATNAME="Microsoft Word for Windows" sip:FILEFORMATVERSION="2007 onwards" sip:FORMATREGISTRY="PRONOM" sip:FORMATREGISTRYKEY="fmt/412">
<mets:FLocat LOCTYPE="URL" xlink:type="simple" xlink:href="documentation/File.docx">
</mets:FLocat>
</mets:file>
3.6. Extended use of the METS structural map (element structMap
)
The mandatory METS structural map element <structMap>
is intended to provide an overview of the components included in the package. It can also link elements of that structure to associated content files and metadata. In the CSIP the structMap
describes the higher-level structure of all the content in the root and may link to existing representations.
The SIP specification does not change or extend any of the requirements already defined by the Common Specification for Information Packages (for more information see section 5.3.6 of the CSIP)
4. Content Information Type Specifications
The concept of a Content Information Type Specification is essentially an extension method which allows for widening the interoperability scope of the E-ARK IPs into a content specific level.
A Content Information Type can be understood as a category of Content Information, for example, relational databases, scientific data or digitised maps. A Content Information Type Specification defines in technical terms how data and metadata (mainly in regard to the Information Object) should be formatted and placed within an Information Package in order to achieve interoperability in exchanging specific Content Information.
The SIP presents no extensions or exceptions to the concept of Content Information Type as it is formalised in the Common Specification for Information Packages. More information on this subject can be found in sections 1.2, 1.3 and 6.1 of the CSIP.
4.1. Submission Agreement
Interactions between Producers and the OAIS are often guided by a Submission Agreement, which establishes specific details about how these interactions should take place, e.g. the type of information expected to be exchanged, the metadata the Producer is expected to deliver, the logistics of the actual transfer, statements regarding access restrictions on the submitted material, etc.
Given the importance of the Submission Agreement, the E-ARK SIP specification provides a way of referring to it regardless of its form. A submission agreement can be delivered in digital (e.g. PDF or XML file) or in analogue forms (i.e. paper document). More information about how to reference the Submission Agreement within the SIP can be found in the section dedicated to the metsHdr
element.
According to the PAIMAS, 2004 standard a Submission Agreement should include a complete and precise definition of:
- Information to be transferred (e.g. SIP contents, SIP packaging, data models, identification of the designated community, legal and contractual aspects);
- Transfer definition (e.g. specification of the OAIS Data Submission Sessions);
- Validation definition;
- Change management (e.g. conditions for modification of the agreement, for breaking the agreement);
- Schedule (submission timetable).
This specification includes a list of semantic elements that should be present in a standard Submission Agreement (see Appendix A). The E-ARK SIP specification does not require the use of any of these semantic elements or in any way forbids the use of any other Submission Agreement formats. The list of semantic elements provided simply serves as a baseline recommendation.
The recommended list of semantic elements is inspired by the PAIMAS requirements and the Submission Agreement template provided by the National Oceanic and Atmospheric Administration (NOAA).
5. Appendices
This section includes supplementary information that may help the reader to better understand this specification.
5.1. Appendix A: Submission Agreement semantic elements
The following list of semantic elements provide a starting point for anyone willing to prepare a Submission Agreement. This list is not prescriptive, or by any means complete. It merely serves the purpose of outlining the most relevant semantic elements that should be present in a Submission Agreement.
5.1.1. Project information
- Project - Elements of a transfer project.
- Project Name - Name of the transfer project (e.g. Transfer I, 2016).
- Project ID - Identification code of the transfer project (e.g. 201601122044).
5.1.2. Change management
- Version/Revision - Elements for tracking the changes in versions of the submission agreement.
- Release date - The date of the version.
- Change authority - The information about the person who changed the submission agreement (e.g. John Smith (The National Archives of Estonia)).
- Change description - A short textual description of the change.
- Section(s) affected - This element is meant for recording more detailed information about changes.
5.1.3. Producer, Archive and Designated Community
- Producer Organization - Elements describing the Producer.
- Organization name - Elements describing the organisation
- Main Contact - Elements describing the main contact of the transfer project.
- Address - The address of the main contact.
- Telephone - The telephone number of the main contact.
- E-mail - The e-mail of the main contact.
- Additional Information - Meant for recording any additional information needed to describe the contact.
- Individual Contacts - Elements describing other individual contacts of the organisation.
- Name - The full name of the contact person.
- Role - The role of the contact person.
- Telephone - The telephone number of the contact person.
- E-mail - The e-mail of the contact person.
- Additional Information - Meant for recording any additional information needed to describe the contact.
- Archive Organization - Elements describing the Archive.
- Organization name - The official name of the organisation.
- Main Contact - Elements describing the main contact of the transfer project.
- Address - The address of the main contact.
- Telephone - The telephone number of the main contact.
- E-mail - The e-mail of the main contact.
- Additional Information - Meant for recording any additional information needed to describe the contact.
- Individual Contacts - Elements describing other individual contacts of the organisation.
- Name - The full name of the contact person.
- Role - The role of the contact person.
- Telephone - The telephone number of the contact person.
- E-mail - The e-mail of the contact person.
- Additional Information - Element for recording any additional information needed to describe the contact.
- Designated Community - Elements describing the Designated Community.
- Description - The textual description of the skills and knowledge base of the designated community.
- Individual Contacts - Elements describing the individual contacts of the designated community.
- Name - The full name of the contact person.
- Role - The role of the contact person.
- Telephone - The telephone number of the contact person.
- E-mail - The e-mail of the contact person.
- Additional Information - Meant for recording any additional information needed to describe the contact.
5.1.4. Submission Information Package (SIP)
- Content and metadata - Elements describing the content and metadata of the submission information package.
- Description - A description of data origination, content and coverage.
- Platform Information - A short description of the source system.
- Representation Information - A description of the means to represent the data content (e.g. referencing to data dictionaries, decoding software, etc.).
- Preservation Descriptive Information - A description for keeping data independently understandable (e.g. processing history, platform documentation, algorithm information, technical reports, user manuals, etc.).
- Supplemental Information - Meant for recording any additional information needed to describe the content or metadata of the SIP.
- Access Constraints - A description of access restrictions and other legal or contractual access aspects.
- Data Model - Elements describing the agreements for the SIP data model.
- Content Type - A short description of the content type (e.g. ERMS content).
- Reference - A reference to the full agreed data model description.
- Additional Information - A description of any other additional information (e.g. description of the physical folder structure of the SIP) related to the data model.
5.1.5. Submission Session Information
- Submission Session - Elements describing the agreements for the submission session.
- Submission Method - The description of the submission method (e.g. through a digital interface, a physical transfer).
- Delivery Schedule - A description of a delivery schedule (a submission session may have a routine or a complex schedule).
- Data Submission Inventory - A description of the complete inventory of data objects (and other items) in the submission session.
5.1.6. Ingest
- Submission Reception - Elements describing the agreements for the ingest.
- Validation - A description of procedures for the quality assurance.
- Error Handling - A description of procedures for the error handling.
- Receipt Confirmation - A description of the receipt confirmation.
5.1.7. Submission risks
- Risks - Elements describing the risks and mitigation options of the submission.
- Risk Factor - Meant for listing all risk factors (e.g. the designated community is not properly defined) of the submission.
- Mitigation Option - Meant for listing all mitigation options (e.g. define the designated community together with producers) for the risks.
5.2. Appendix B: E-ARK Information Package METS example
Example 1: Example of a whole METS document describing an submission information package with no representations.
<mets:mets xmlns:mets="http://www.loc.gov/METS/" xmlns:csip="https://DILCIS.eu/XML/METS/CSIPExtensionMETS" xmlns:sip="https://DILCIS.eu/XML/METS/SIPExtensionMETS" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:xlink="http://www.w3.org/1999/xlink" OBJID="uuid-4422c185-5407-4918-83b1-7abfa77de182" LABEL="Accounting records of 2017" TYPE="OTHER" csip:OTHERTYPE="Accounting" PROFILE="https://earksip.dilcis.eu/profile/E-ARK-SIP.xml" xsi:schemaLocation="http://www.loc.gov/METS/ http://www.loc.gov/standards/mets/mets.xsd http://www.w3.org/1999/xlink http://www.loc.gov/standards/mets/xlink.xsd https://DILCIS.eu/XML/METS/CSIPExtensionMETS https://earkcsip.dilcis.eu/schema/DILCISExtensionMETS.xsd https://DILCIS.eu/XML/METS/SIPExtensionMETS https://earksip.dilcis.eu/schema/DILCISExtensionSIPMETS.xsd">
<mets:metsHdr CREATEDATE="2018-04-24T14:37:49.602+01:00" LASTMODDATE="2018-04-24T14:37:49.602+01:00" RECORDSTATUS="NEW" csip:OAISPACKAGETYPE="SIP">
<mets:agent ROLE="CREATOR" TYPE="OTHER" OTHERTYPE="SOFTWARE">
<mets:name>RODA-in</mets:name>
<mets:note csip:NOTETYPE="SOFTWARE VERSION">2.1.0-beta.7</mets:note>
</mets:agent>
<mets:agent ROLE="ARCHIVIST" TYPE="ORGANIZATION">
<mets:name>The Swedish health agency</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE201345098701</mets:note>
</mets:agent>
<mets:agent ROLE="CREATOR" TYPE="ORGANIZATION">
<mets:name>The agency, Personnel</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">VAT:SE2098109810-AF87</mets:note>
</mets:agent>
<mets:agent ROLE="CREATOR" TYPE="INDIVIDUAL">
<mets:name>Sven Svensson</mets:name>
<mets:note>Phone: 08-123456, Email: sven.svensson@mail.mail</mets:note>
</mets:agent>
<mets:agent ROLE="PRESERVATION" TYPE="ORGANIZATION">
<mets:name>The archives</mets:name>
<mets:note csip:NOTETYPE="IDENTIFICATIONCODE">ID:1234567</mets:note>
</mets:agent>
<mets:altRecordID TYPE="SUBMISSIONAGREEMENT">http://submissionagreement.kb.se/dnr331-1144-2011/20120711/</mets:altRecordID>
<mets:altRecordID TYPE="PREVIOUSSUBMISSIONAGREEMENT">FM 12-2387/12726, 2007-09-19</mets:altRecordID>
<mets:altRecordID TYPE="REFERENCECODE">SE/RA/123456/24/P</mets:altRecordID>
<mets:altRecordID TYPE="PREVIOUSREFERENCECODE">SE/FM/123/123.1/123.1.3</mets:altRecordID>
</mets:metsHdr>
<mets:dmdSec ID="dmdSecExample1" CREATED="2018-04-24T14:37:49.609+01:00">
<mets:mdRef LOCTYPE="URL" MDTYPE="EAD" MDTYPEVERSION="2002" xlink:type="simple" xlink:href="metadata/descriptive/ead2002.xml" SIZE="903" CREATED="2018-04-24T14:37:49.609+01:00" CHECKSUM="F24263BF09994749F335E1664DCE0086DB6DCA323FDB6996938BCD28EA9E8153" CHECKSUMTYPE="SHA-256">
</mets:mdRef>
</mets:dmdSec>
<mets:amdSec>
<mets:digiprovMD ID="appdx1.digiprov-premis-file-1" CREATED="2018-04-24T14:37:52.783+01:00">
<mets:mdRef LOCTYPE="URL" xlink:type="simple" xlink:href="metadata/preservation/premis1.xml" MDTYPE="PREMIS" MDTYPEVERSION="3.0" MIMETYPE="text/xml" SIZE="1211" CREATED="2018-04-24T14:37:52.783+01:00" CHECKSUM="8aa278038dbad54bbf142e7d72b493e2598a94946ea1304dc82a79c6b4bac3d5" CHECKSUMTYPE="SHA-256" LABEL="premis1.xml">
</mets:mdRef>
</mets:digiprovMD>
<mets:digiprovMD ID="appdx1.digiprov-premis-file-2" CREATED="2018-04-24T14:47:52.783+01:00">
<mets:mdRef LOCTYPE="URL" xlink:type="simple" xlink:href="metadata/preservation/premis2.xml" MDTYPE="PREMIS" MDTYPEVERSION="3.0" MIMETYPE="text/xml" SIZE="2854" CREATED="2018-04-24T14:37:52.783+01:00" CHECKSUM="d1dfa585dcc9d87268069dc58d5e47956434ec3db4087a75a3885d287f15126f" CHECKSUMTYPE="SHA-256" LABEL="premis2.xml">
</mets:mdRef>
</mets:digiprovMD>
</mets:amdSec>
<mets:fileSec ID="appdx1.filesec-docx-file-1">
<mets:fileGrp ID="appdx1.filegrp-doc" USE="Documentation">
<mets:file ID="appdx1.docx-file" MIMETYPE="application/vnd.openxmlformats-officedocument.wordprocessingml.document" SIZE="2554366" CREATED="2012-08-15T12:08:15.432+01:00" CHECKSUM="91B7A2C0A1614AA8F3DAF11DB4A1C981F14BAA25E6A0336F715B7C513E7A1557" CHECKSUMTYPE="SHA-256" sip:FILEFORMATNAME="Microsoft Word for Windows" sip:FILEFORMATVERSION="2007 onwards" sip:FORMATREGISTRY="PRONOM" sip:FORMATREGISTRYKEY="fmt/412">
<mets:FLocat LOCTYPE="URL" xlink:type="simple" xlink:href="documentation/File.docx">
</mets:FLocat>
</mets:file>
<mets:file ID="appdx1.file-2-docx" MIMETYPE="application/vnd.openxmlformats-officedocument.wordprocessingml.document" SIZE="2554366" CREATED="2012-08-15T12:08:15.432+01:00" CHECKSUM="91B7A2C0A1614AA8F3DAF11DB4A1C981F14BAA25E6A0336F715B7C513E7A1557" CHECKSUMTYPE="SHA-256" sip:FILEFORMATNAME="Microsoft Word for Windows" sip:FILEFORMATVERSION="2007 onwards" sip:FORMATREGISTRY="PRONOM" sip:FORMATREGISTRYKEY="fmt/412">
<mets:FLocat LOCTYPE="URL" xlink:type="simple" xlink:href="documentation/File2.docx">
</mets:FLocat>
</mets:file>
</mets:fileGrp>
<mets:fileGrp ID="appdx1.filegrp-schema" USE="Schemas">
<mets:file ID="appdx1.file.ead" MIMETYPE="application/xml" SIZE="123917" CREATED="2018-04-24T14:37:49.617+01:00" CHECKSUM="0BF9E16ADE296EF277C7B8E5D249D300F1E1EB59F2DCBD89644B676D66F72DCC" CHECKSUMTYPE="SHA-256" sip:FILEFORMATNAME="XML Schema Definition" sip:FORMATREGISTRY="PRONOM" sip:FORMATREGISTRYKEY="x-fmt/280">
<mets:FLocat LOCTYPE="URL" xlink:type="simple" xlink:href="schemas/ead2002.xsd">
</mets:FLocat>
</mets:file>
</mets:fileGrp>
<mets:fileGrp ID="appdx1.filegrp.data" USE="Representations/Submission/Data" csip:CONTENTINFORMATIONTYPE="SIARDDK">
<mets:file ID="appdx1.file.siard" MIMETYPE="application/xml" SIZE="1338744" CREATED="2018-04-24T14:37:49.617+01:00" CHECKSUM="7176A627870CFA3854468EC43C5A56F9BD8B30B50A983B8162BF56298A707667" CHECKSUMTYPE="SHA-256" ADMID="appdx1.digiprov-premis-file-2 appdx1.digiprov-premis-file-1" sip:FILEFORMATNAME="Extensible Markup Language" sip:FILEFORMATVERSION="1.0" sip:FORMATREGISTRY="PRONOM" sip:FORMATREGISTRYKEY="fmt/101">
<mets:FLocat LOCTYPE="URL" xlink:type="simple" xlink:href="representations/submission/data/SIARD.xml">
</mets:FLocat>
</mets:file>
</mets:fileGrp>
</mets:fileSec>
<mets:structMap ID="appdx1.struct" TYPE="PHYSICAL" LABEL="CSIP">
<mets:div ID="appdx1.div.struct" LABEL="uuid-4422c185-5407-4918-83b1-7abfa77de182">
<mets:div ID="appdx1.div.md" LABEL="Metadata" ADMID="appdx1.digiprov-premis-file-1 appdx1.digiprov-premis-file-2" DMDID="dmdSecExample1">
</mets:div>
<mets:div ID="appdx1.div.doc" LABEL="Documentation">
<mets:fptr FILEID="appdx1.filegrp-doc">
</mets:fptr>
</mets:div>
<mets:div ID="appdx1.div.schm" LABEL="Schemas">
<mets:fptr FILEID="appdx1.filegrp-schema">
</mets:fptr>
</mets:div>
<mets:div ID="appdx1.div.reps" LABEL="Representations">
<mets:fptr FILEID="appdx1.filegrp.data">
</mets:fptr>
</mets:div>
</mets:div>
</mets:structMap>
</mets:mets>
5.3. Appendix C: External Schema
5.3.1. E-ARK SIP METS Extension
Location: https://earksip.dilcis.eu/schema/DILCISExtensionSIPMETS.xsd
Context: XML-schema for the attributes added by SIP
Note:
An extension schema with the added attributes for use in this profile.
The schema is used with a namespace prefix of sip.
5.3.2. E-ARK CSIP METS Extension
Location: http://earkcsip.dilcis.eu/schema/DILCISExtensionMETS.xsd
Context: XML-schema for the attributes added by CSIP
Note:
An extension schema with the added attributes for use in this profile.
The schema is identified using the namespace prefix csip.
5.4. Appendix D: External Vocabularies
5.4.1. Package status
Maintained By: DILCIS Board
Location: http://earksip.dilcis.eu/schema/SIPVocabularyRecordStatus.xml
Context: Used in @RECORDSTATUS
Description:
Describes the status of the package.
5.4.2. Alternative record ID’s
Maintained By: DILCIS Board
Location: http://earksip.dilcis.eu/schema/SIPVocabularyRecordIDType.xml
Context: Used in altrecordID/@TYPE
Description:
Describes the type of the alternative record ID.
5.4.3. Note type
Maintained By: DILCIS Board
Location: http://earkcsip.dilcis.eu/schema/CSIPVocabularyNoteType.xml
Context: Used in @csip:NOTETYPE
Description:
Describes the type of a note for an agent.
5.4.4. OAIS Package type
Maintained By: DILCIS Board
Location: http://earkcsip.dilcis.eu/schema/CSIPVocabularyOAISPackageType.xml
Context: Used in @csip:OAISPACKAGETYPE
Description:
Describes the OAIS type the package belongs to in the OAIS reference model.
5.5. Appendix E: A Full List of E-ARK SIP Requirements
ID | Name, Location & Description | Card & Level |
---|---|---|
SIP1 | Package name mets/@LABEL An optional short text describing the contents of the package, e.g. “Accounting records of 2017”. |
0..1 MAY |
SIP2 | METS Profile mets/@PROFILE The value is set to “https://earksip.dilcis.eu/profile/E-ARK-SIP.xml”. |
1..1 MUST |
SIP3 | Package status metsHdr/@RECORDSTATUS A way of indicating the status of the package and to instruct the OAIS on how to properly handle the package. If not set, the expected behaviour is equal to NEW. See also: Package status |
0..1 MAY |
SIP4 | OAIS Package type information metsHdr/@csip:OAISPACKAGETYPE @csip:OAISPACKAGETYPE is used with the value “SIP”. See also: OAIS Package type |
1..1 MUST |
SIP5 | Submission agreement metsHdr/altRecordID A reference to the Submission Agreement associated with the package. @TYPE is used with the value “SUBMISSIONAGREEMENT”. Example: RA 13-2011/5329; 2012-04-12 Example: http://submissionagreement.kb.se/dnr331-1144-2011/20120711/ Note: It is recommended to use a machine-readable format for a better description of a submission agreement. For example, the submission agreement developed by Docuteam GmbH http://www.loc.gov/standards/mets/profiles/00000041.xml See also: Alternative record ID’s |
0..1 MAY |
SIP6 | Previous Submission agreement metsHdr/altRecordID An optional reference to a previous submission agreement(s) which the information may have belonged to. @TYPE is used with the value “PREVIOUSSUBMISSIONAGREEMENT”. Example: FM 12-2387/12726, 2007-09-19 Example: http://submissionagreement.kb.se/dnr331-1144-2011/20120711/ Note: It is recommended to use a machine-readable format for a better description of a submission agreement. For example, the submission agreement developed by Docuteam GmbH http://www.loc.gov/standards/mets/profiles/00000041.xml See also: Alternative record ID’s |
0..* MAY |
SIP7 | Archival reference code metsHdr/altRecordID An optional reference code indicating where in the archival hierarchy the package shall be placed in the OAIS. @TYPE is used with the value “REFERENCECODE”. Example: FM 12-2387/12726, 2007-09-19 See also: Alternative record ID’s |
0..1 MAY |
SIP8 | Previous archival reference code metsHdr/altRecordID In cases where the SIP originates from other institutions maintaining a reference code structure, this element can be used to record these reference codes and therefore support the provenance of the package when a whole archival description is not submitted with the submission. @TYPE is used with the value “PREVIOUSREFERENCECODE”. Example: SE/FM/123/123.1/123.1.3 See also: Alternative record ID’s |
0..* MAY |
SIP9 | Archival creator agent metsHdr/agent A wrapper element that enables to encode the name of the organisation or person that originally created the data being transferred. Please note that this might be different from the organisation which has been charged with preparing and sending the SIP to the archives. |
0..1 MAY |
SIP10 | Archival creator agent role metsHdr/agent/@ROLE The role of the person(s) or institution(s) responsible for the document/collection. |
1..1 MUST |
SIP11 | Archival creator agent type metsHdr/agent/@TYPE The type of the archival creator agent is “ORGANIZATION” or “INDIVIDUAL”. |
1..1 MUST |
SIP12 | Archival creator agent name metsHdr/agent/name The name of the organisation(s) that originally created the data being transferred. Please note that this might be different from the organisation which has been charged with preparing and sending the SIP to the archives. |
0..* MAY |
SIP13 | Archival creator agent additional information metsHdr/agent/note The archival creator agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP14 | Classification of the archival creator agent additional information metsHdr/agent/note/@csip:NOTETYPE The archival creator agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
SIP15 | Submitting agent metsHdr/agent The name of the organisation or person submitting the package to the archive. |
1..1 MUST |
SIP16 | Submitting agent role metsHdr/agent/@ROLE The role of the person(s) or institution(s) responsible for creating and/or submitting the package. |
1..1 MUST |
SIP17 | Submitting agent type metsHdr/agent/@TYPE The type of the submitting agent is “ORGANIZATION” or “INDIVIDUAL”. |
1..1 MUST |
SIP18 | Submitting agent name metsHdr/agent/name Name of the organisation submitting the package to the archive. |
1..1 MAY |
SIP19 | Submitting agent additional information metsHdr/agent/note The submitting agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP20 | Classification of the submitting agent additional information metsHdr/agent/note/@csip:NOTETYPE The submitting agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
SIP21 | Contact person agent metsHdr/agent Contact person for the submission. |
0..* MAY |
SIP22 | Contact person agent role metsHdr/agent/@ROLE The role of the contact person is “CREATOR”. |
1..1 MUST |
SIP23 | Contact person agent type metsHdr/agent/@TYPE The type of the contact person agent is “INDIVIDUAL”. |
1..1 MUST |
SIP24 | Contact person agent name metsHdr/agent/name Name of the contact person. |
1..1 MUST |
SIP25 | Contact person agent additional information metsHdr/agent/note The contact person agent has one or more notes giving the contact information. |
0..* MAY |
SIP26 | Preservation agent metsHdr/agent The organisation or person that preserves the package. |
0..1 MAY |
SIP27 | Preservation agent role metsHdr/agent/@ROLE The role of the preservation agent is “PRESERVATION”. |
1..1 MUST |
SIP28 | Preservation agent type metsHdr/agent/@TYPE The type of the submitting agent is “ORGANIZATION”. |
1..1 MUST |
SIP29 | Preservation agent name metsHdr/agent/name Name of the organisation preserving the package. |
1..1 MAY |
SIP30 | Preservation agent additional information metsHdr/agent/note The preservation agent has a note providing a unique identification code for the archival creator. |
0..1 MAY |
SIP31 | Classification of the preservation agent additional information metsHdr/agent/note/@csip:NOTETYPE The preservation agent note is typed with the value of “IDENTIFICATIONCODE”. See also: Note type |
1..1 MUST |
REF_CSIP_1 | Descriptive metadata The SIP dmdSec element should comply with dmdSec requirements in the CSIP profile. |
SHOULD |
REF_CSIP_2 | Administrative metadata The SIP amdSec element should comply with amdSec requirements in the CSIP profile. |
SHOULD |
SIP32 | File format name fileSec/fileGrp/file/@sip:FILEFORMATNAME An optional attribute may be used if the MIMETYPE is not sufficient for the purposes of processing the information package. Example: “Extensible Markup Language” Example: “PDF/A” Example: “ISO/IEC 26300:2006” |
0..1 MAY |
SIP33 | File format version fileSec/fileGrp/file/@sip:FILEFORMATVERSION The version of the file format when the use of PREMIS has not been agreed upon in the submission agreement. Example: “1.0” |
0..1 MAY |
SIP34 | File format registry fileSec/fileGrp/file/@sip:FILEFORMATREGISTRY The name of the format registry used to identify the file format when the use of PREMIS has not been agreed upon in the submission agreement. Example: “PRONOM” |
0..1 MAY |
SIP35 | File format registry key fileSec/fileGrp/file/@sip:FILEFORMATKEY Key of the file format in the registry when use of PREMIS has not been agreed upon in the submission agreement. Example: “fmt/101” |
0..1 MAY |
REF_CSIP_3 | Structural description of the package The SIP structMap element should comply with structMap requirements in the CSIP profile. |
SHOULD |
REF_METS_1 | structLink Section not defined or used in CSIP, additional own uses may occur. Information regarding the structural links is found in the METS Primer |
MAY |
REF_METS_2 | behaviorSec Section not defined or used in CSIP, additional own uses may occur. Information regarding the behavior section is found in the METS Primer |
MAY |
6. Glossary
Term | Definition |
---|---|
Archival creator | Organisation unit or individual that creates records and/or manages records during their active use. |
Archive | An organisation that intends to preserve information for Access and (re)use by a Designated Community. |
Delivering organisation | The organisation delivering an information package to the archive. For stating and extending the information use of the “Producer organisation name” and “Submitting organisation name” elements is recommended. |
ERMS | A type of content management software known as an Electronic Records Management System. |
Information Package | A logical container composed of optional Content Information and optional associated Preservation Description Information. Associated with this Information Package is Packaging Information used to delimit and identify the Content Information and Package Description information used to facilitate searches for the Content Information. |
Ingest | The OAIS functional entity that contains the services and functions that accept Submission Information Packages from Producers, prepares Archival Information Packages for storage, and ensures that Archival Information Packages and their supporting Descriptive Information become established within the OAIS. |
OAIS | The Open Archival Information System is an archive (and a standard: ISO 14721:2003), consisting of an organisation of people and systems that has accepted the responsibility to preserve information and make it available for a Designated Community. |
Producing organisation | The organisational unit or individual that has the authority to transfer records to an archive. Usually the producer is also the records creator but this is not always the case, sometimes the producer is different from the records creator. For example: An author dies and her literary executor gains the authority to transfer her papers to an archive. The author is the records creator and the literary executor is the producer. For example: Department X gets reorganised out of existence and Department Y, which takes over the functional responsibilities of Department X, gains the authority to transfer the records of Department X to the archive. Department X is the records creator and Department Y is the producer. Counter example: The Department of Widget Science transfers some of its own records to the archive. The Department of Widget Science is the records creator and the producer. |
Submission Information Package (SIP) | An Information Package that is delivered by the Producer to the OAIS for use in the construction or update of one or more AIPs and/or the associated Descriptive Information. |
Submitting organisation | Name of the organisation submitting the package to the archive. Extends the delivery information since it may be the case that the content of a creator is held by another part of the organisation. |
Postface
I Authors
Name | Organisation |
---|---|
Miguel Ferreira | Keep Solutions (KEEPS) |
Hélder Silva | Keep Solutions (KEEPS) |
Karin Bredenberg | Kommunalförbundet Sydarkivera (SYD) |
Carl Wilson | Open Preservation Foundation |
Jaime Kaminski (reviewer) | Highbury Associates |
Luís Miguel Ferros (reviewer) | Keep Solutions (KEEPS) |
I.I. Contributors to previous version
Name | Organisation |
---|---|
Tarvo Kärberg | Estonian National Archives (NAE) |
Anders Bo Nielsen | Danish National Archives (DNA) |
Björn Skog | ES Solutions (ESS) |
Gregor Zavrsnik | Slovenian National Archives (SNA) |
Helder Silva | Keep Solutions (KEEPS) |
Miguel Ferreira | Keep Solutions (KEEPS) |
Karin Bredenberg | Kommunalförbundet Sydarkivera (SYD) |
Kathrine Hougaard Edsen Johansen | Danish National Archives (DNA) |
Levente Szilágyi | National Archives of Hungary (NAH) |
Phillip Mike Tømmerholt | Danish National Archives (DNA) |
Kuldar Aas | Estonian National Archives (NAE) |
Sven Schlarb | Austrian Institute of Technology (AIT) |
David Anderson | University of Brighton |
Andrew Wilson | University of Brighton |
II Revision History
Revision | Date | Authors | Org | Description |
---|---|---|---|---|
0.1 | 20.10.2014 | Tarvo Kärberg | NAE | First draft. |
0.2 | 13.11.2014 | Tarvo Kärberg | NAE | Updating content. |
0.3 | 02.12.2014 | Tarvo Kärberg | NAE | Updating content. |
0.4 | 17.01.2015 | Tarvo Kärberg | NAE | Updating content. |
0.6 | 23.01.2015 | Anders Bo Nielsen | DNA | Updating content. |
0.5 | 21.01.2015 | Karin Bredenberg | ESS | Updating content. |
0.7 | 23.01.2015 | Kathrine Hougaard Edsen | DNA | Updating content. |
0.71 | 26.01.2015 | Björn Skog | ESS | Updating content. |
0.72 | 27.01.2015 | Hélder Silva | KEEPS | Updating content. |
0.8 | 27.01.2015 | Angela Dappert | DLM/UPHEC | Quality assurance and proof-reading. |
0.9 | 29.01.2017 | Kuldar Aas | NAE | Quality assurance and proof-reading. |
0.91 | 30.01.2015 | David Anderson | UPHEC | Quality assurance and proof-reading. |
1.0 | 30.01.2015 | Tarvo Kärberg | NAE | Final version (D3.2). |
0.1 | 11.05.2015 | Karin Bredenberg | ESS/NAS | Updating content. |
0.3 | 27.07.2015 | Tarvo Kärberg | NAE | Updating content. |
0.2 | 30.06.2015 | Tarvo Kärberg | NAE | Updating content. |
0.4 | 23.10.2015 | Tarvo Kärberg | NAE | Updating content, synchronising with the SMURF profile. |
0.41 | 17.11.2015 | Tarvo Kärberg | NAE | Integrating the feedback. |
0.42 | 07.12.2015 | Tarvo Kärberg | NAE | Updating content. |
0.5 | 12.01.2016 | Tarvo Kärberg | NAE | Updating content, synchronising with the Common Specification. |
0.6 | 15.01.2016 | Anders Bo Nielsen | DNA | Updating content. |
0.61 | 15.01.2016 | Gregor Zavrsnik | SNA | Updating content. |
0.62 | 18.01.2016 | Tarvo Kärberg | NAE | Updating content. |
0.63 | 20.01.2016 | Phillip Mike Tømmerholt | DNA | Updating content. |
0.64 | 25.01.2016 | Phillip Mike Tømmerholt | DNA | Updating content. |
0.7 | 26.01.2016 | Sven Schlarb | AIT | Quality assurance and proof-reading. |
0.8 | 27.01.2016 | Kuldar Aas | NAE | Quality assurance and proof-reading. |
0.9 | 29.01.2016 | Andrew Wilson and David Anderson | University of Brighton | Quality assurance and proof-reading. |
1.0 | 29.01.2016 | Tarvo Kärberg | NAE | Final version (general paart of D3.3) |
1.1 | 14.07.2016 | Tarvo Kärberg | NAE | Incorporating agreements made in the Common Specification work group. |
1.2 | 12.12.2016 | Tarvo Kärberg | NAE | Incorporating agreements made in the Common Specification work group. |
1.3 | 13.01.2017 | Tarvo Kärberg | NAE | Small updates. |
1.4 | 31.01.2017 | Tarvo Kärberg | NAE | Finalising the specification. |
2.0.0 | 15.03.2019 | Miguel Ferreira | KEEPS | Updated to v2.0 with CSIP |
2.0.1 | 09.09.2019 | Karin Bredenberg | SNA | Correction @LABEL and @USE attributes, typos, layout and PDF formatting. |
2.0.2 | 28.10.2019 | Karin Bredenberg | SYD | Fixed schema paths. |
2.0.3 | 08.01.2020 | K. Bredenberg, C.Wilson | SYD & OPF | Fixed error in value list note type. |
2.0.4 | 12.06.2020 | K. Bredenberg, C.Wilson & J. Kaminski | SYD, OPF & HIGH | Update in example ID:s, preface text and output display update |
2.1.0 | 15.10.2021 | K. Bredenberg, C.Wilson | SYD & OPF | Update of specification to version 2.1. Changed the cardinality of agent elements to follow METS and added more agents examples. |
III Acknowledgements
The Common Specification for Information Packages was first developed within the E-ARK project in 2014 – 2017. E-ARK was an EC-funded pilot action project in the Competiveness and Innovation Programme 2007- 2013, Grant Agreement no. 620998 under the Policy Support Programme.
We would like to thank the National Archives of Sweden and Karin Bredenberg for their support and the availability of the Swedish national Common Specifications, upon which most of this document has been built.
The authors of this deliverable would like to thank all national archives, tool developers and other stakeholders who provided valuable knowledge about their requirements for information packages and feedback to this specification!
IV Contact & Feedback
The Common Specification for Information Packages is maintained by the Digital Information LifeCycle Interoperability Standard Board (DILCIS Board). For further information about the DILCIS Board or feedback on the current document please consult the website http://www.dilcis.eu/ or contact us at info@dilcis.eu.