4.1.1.5 Administration

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The functions of the Administration Functional Entity are illustrated in figure 4-5. As stated above (see page 4-3) some of the activities detailed in this section will not apply to all implementations; for instance in the customer service function, the billing activity shows where this would occur if required.

Figure 4-5 Functions of the Administration Functional Entity 650x0m2.jpg

Figure 4-5: Functions of the Administration Functional Entity

The Negotiate Submission Agreement function solicits desirable archival information for the OAIS and negotiates Submission Agreements with Producers. This function also negotiates a data submission schedule with the Producer. It maintains a calendar of expected Data Submission Sessions that will be needed to transfer one or more SIPs to the OAIS and the resource requirements to support their ingestion. This function receives AIP/SIP templates and customization advice from Preservation Planning and sends SIP designs, any customized AIP designs and any example SIPs to the Audit Submission function as part of the submission approval process. It also sends SIP designs and any customized AIP designs to the Establish Standards and Policies function for subsequent use by the Ingest function. The data submission formats and procedures must be clearly documented in the Archive’s data submission policies, and the deliverables must be identified by the Producer in the Submission Agreement. The Producer-Archive Interface Methodology Abstract Standard (ISO 20652:2006) may be applicable here, as may be parts of ISO 15489-1:2001 and ISO/TR 15489-2:2001, and other ISO standards.

The Manage System Configuration function provides system engineering for the Archive system to monitor continuously the functionality of the entire Archive system and systematically control changes to the configuration. This function maintains integrity and traceability 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 receives migration packages from Preservation Planning, based on which it sends change requests, procedures and tools to the Archival Information Update function. It receives system evolution policies from the Establish Standards and Policies function. Based on these inputs it develops and implements plans for system evolution.

The Archival Information Update function provides a mechanism for updating the contents of the Archive. It receives change requests, procedures and tools from Manage System Configuration. It provides updates by sending a dissemination request to Access, updating the contents of the resulting DIPs and resubmitting them as SIPs to Ingest.

The Physical Access Control function provides mechanisms to restrict or allow physical access (doors, locks, guards) to elements of the Archive, as determined by Archive policies.

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, proposals for new Archive data standards, and periodic risk analysis reports from Preservation Planning. It will have to face risks from unforeseen events (unplanned down time due to network outage, software bugs, hardware failure, human error, disk crash, etc.) and make the appropriate decisions to minimize the risk of not fulfilling the Archive’s commitments. It also receives performance information and Archive holding inventories from Manage System Configuration. Based on these inputs and analyses, 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. In response to the recommendations from Preservation Planning on AIP updates it provides approved standards and migration goals to Preservation Planning (Preservation Planning will respond with migration packages to the Manage System Configuration function). The Establish Standards and Policies 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, such as DRM, and the application of error control techniques throughout the Archive.

The Audit Submission function will verify that submissions (SIP or AIP) meet the specifications of the Submission Agreement. In the case of the SIP and in the case of the AIP it verifies the understandability by the Designated Community. This function receives AIP/SIP reviews from Preservation Planning and may also involve an outside committee (e.g., science and technical review); these reviews report on whether the AIP/SIP templates have been properly applied in Ingest. 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. In the case of producing a new version of an AIP this function checks that the migration goals have been met. This could include checking usability and checking evidence for Authenticity such as ensuring maintenance of Transformational Information Properties (see 5.2). 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.

The Activate Requests function maintains a record of event-driven requests and periodically compares it to the contents of the Archive to determine if all needed data is available. If needed data is available, this function generates a dissemination request that is sent to Access. This function can also generate orders on a periodic basis where the length of the period is defined by the Consumers or on the occurrence of an event (e.g., a database update).

The Customer Service function will create, maintain and delete Consumer accounts. It will collect billing information from Access and will send bills and collect payment from Consumers for the utilization of Archive system resources. It will respond to general information requests. This function will also collect and respond to feedback on Access services and products. Customer Service will summarize these comments and make them available.

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