DDA Document Maintenance Log

Deposit Agreement for

Electronic Records

March 2013

DDA Document Maintenance Log

Ownership of this document resides with the DDA System Owner, and all revisions must be approved by them. Details of revisions should be summarised in the table below.

With each revision or revisions the document must be given a new version number and date on the title page. All revisions must be filed on the relevant NRS registered file.

Date / Author / Location of change / Description of change / Reason for change / QA’d by / QA date / BIP0008 compliance confirmed?
29/1/09 / Susan Corrigall / Whole document / Draft for project QA / Jane Brown, Bruno Longmore / 12/2/09 / Yes
12/3/09 / Susan Corrigall / Whole document / Textual changes as a result of QA / To improve clarity of document / N/A / Yes
12/3/09 / Susan Corrigall / p14-15 / New section inserted – Depositor Profile / Feedback during QA / Jane Brown / Yes
24/3/09 / Susan Corrigall / Document Maintenance section / ‘will be reviewed at least every six months or more frequently if mutually agreed.’ inserted. / Feedback during QA / Jane Brown / 24/3/09 / Yes
27/5/09 / Susan Corrigall / End / ‘Appendix 1: NAS Metadata Requirements’ added; ‘Standards Reflected in this Agreement’ renumbered as Appendix 2 / Appendix describing NAS metadata Requirements added / Bruno Longmore, Jane Brown
27/5/09 / Susan Corrigall / p 4 / Reference to PD 2.1.5 Prepare Guidelines for Depositors - NAS Metadata required from depositors replaced with reference to Appendix 1 / Bruno Longmore, Jane Brown / 29/6/09 / Yes, JB, 29/5/09
1/6/09 / Susan Corrigall / Copyright section / Digital objects subject to private copyright – copyright owned by depositor: ‘Please tick as appropriate’ inserted / QA feedback from JB / N/A / N/A / N/A
1/6/09 / Susan Corrigall / Appendix 1 / Message Digest Algorithm – obligation for depositor changed to mandatory / QA feedback from JB / N/A / N/A / N/A
9/06/09 / Susan Corrigall / Throughout / Changed references to ‘the NAS’ to ‘the Keeper’; standardised use of verbs to ‘describe’. / QA feedback from BL / N/A / N/A / N/A
9/6/09 / Susan Corrigall / Instead of saving version 1.3 as a new document, accidentally saved it over version 1.2. Therefore electronic version 1.2 no longer extant. / N/A / N/A / N/A
7/3/13 / John Simmons / Front page and throughout / New NRS logo added and font changes. ‘NAS’ replaced by ‘NRS’ where relevant. / Revision to reflect new NRS brand identity / N/A / N/A / N/A
7/3/13 / John Simmons / p13 / Appendix 1 removed. ‘Standards Reflected in this Agreement’ renumbered as Appendix 2 / Did not prove workable / N/A / N/A / N/A

Deposit Agreement between the Keeper of the Records of Scotland

and

insert name of body

concerning

insert record type(s) covered by this agreement

Table of contents

Introduction

Mandate for transfer

Pre-transfer

Transfer

Detailed definition of material to be transferred (Submission Information Package: SIP)

Metadata

Access

Retransmissions

Authenticity, legal admissibility and BIP 0008: 2004 compliance

Data Validation

Reject Procedures

Acknowledgement of receipt

Depositor profile

Document maintenance procedures

Signatures

Appendix 1: Standards reflected in this agreement

Introduction

This agreement is between the Keeper of the Records of Scotland, H M General Register House, Edinburgh, EH1 3YY (hereinafter ‘the Keeper’) and the named body below (hereinafter ‘the depositor’):

It concerns the transfer of the following electronic records from the depositor to the Keeper:

Mandate for transfer

This transfer of electronic records from the depositor to the Keeper is mandated under:

Pre-transfer

Prior to formal transfer of the first batch of digital objects, the depositor and the Keeper will agree on a representative sample of data and associated metadata which will be sent to the Keeper for analysis. The Keeper and the depositor will use the results of this analysis to inform the detailed definition of material to be transferred, which will also be described in this agreement (see Detailed Definition of Material to be Transferred).

Describe here data and metadata to be used as sample data, and how it will be transferred:

Transfer[1]

This data shall be transmitted to the Keeper by the depositor:

The depositor will give the Keeper at least 3 months’ notice of a first deposit and at least 4 weeks’ notice of a repeat deposit, which will include narrative details of the digital objects with the following information as a minimum requirement: description of objects, covering dates, file types, overall file sizee.g. ‘Network Rail Scottish division timetables, 1 April to 30 June 2008; PDF files; 20 MB’.

The depositor will transfer the data on the following medium, provided by the following party:

Where the transfer medium is supplied by the Keeper, it will be managed in accordance with the NRSPolicy on the Use of IT Facilities. The Keeper accepts no responsibility for any loss or damage to the depositor’s systems which may result from its use.

The transfer medium will be transported between the depositor and the Keeper as follows (please tick all that apply):

NRS van

depositor’s van

secure container (e.g. locked box, please describe below)

recorded delivery

other (e.g. courier, please describe below)

Detailed definition of material to be transferred (Submission Information Package: SIP)

The depositor’s data will be presented to the Keeper in the following format:

The depositor’s data will be arranged as follows (include the following information as a minimum) (you may wish to use a separate sheet):

Folder structure for data (a diagram may be useful)
Folder structure for metadata (a diagram may be useful)
Naming conventions for folders and constituent files
The nature of relationships between the objects and/or metadata (if any) – simple (each object opens with one ‘click’), complex (each object requires more than one ‘click’ to open all constituent parts, ‘clicks’ may have to be done in a certain order) or group (digital object comprises numerous constituent parts, which can be ‘clicked’ by the user in various ways)

The depositor will present data for transfer to the Keeperin the format described above, within a single folder called ‘NRS folder’, with the following name:

Metadata

For the purposes of ingest into the NRS Digital Data Archive, the Keeper will organise the data and metadata as follows:

Preservation metadata content

The depositor will supply the Keeper with details of preservation metadata:

Descriptive metadata content

The depositor will supply the Keeper with details of descriptive metadata:

Preservation metadata format

Thedepositor will supply preservation metadata to the Keeper in the following format:

Descriptive metadata format

The depositor will supply descriptive metadata to the Keeper in the following format:

Access

The depositor will supply the Keeper with details of any relevant access restrictions, which the Keeper will administer.

Please tick all that apply:

Freedom of Information Act 2000

The depositor is subject to FOIA

The depositor will record any exemptions found to apply in the descriptive metadata accompanying each object (see descriptive metadata above).

Freedom of Information (Scotland)Act 2002

The depositor is subject to FOISA

The depositor will record any exemptions found to apply in the descriptive metadata accompanying each object (see descriptive metadata above).

Data Protection Act 1998

The records contain personal data under the terms of the Data Protection Act 1998

The records contain sensitive personal data under the terms of the Data Protection Act 1998

The depositor will act as Data Controller, and The Keeper as Data Processor

The depositor and The Keeper will act as joint Data Controller

The Keeper will act as Data Controller

Other access restrictions

The digital objects attract other access restrictions (e.g. closure periods applied by depositor)

Retransmissions

Section 5 (3) of the Public Records (Scotland) Act 1937 requires that the Keeper shall retransmit documents for business purposes to the body from which they were received, and that the recipient will return them as soon as they are no longer required.

Please tick as appropriate:

Documents are subject to retransmission on request.

Documents are not subject to retransmission on request.

The following will be returned to the depositor when retransmission is requested:

Using a transfer medium supplied by the Keeper, the retransmitted documents will be transported between the NRS and the depositor as follows (please tick all that apply):

NRS van

depositor’s van

secure container (e.g. locked box, please describe below)

recorded delivery

other (e.g. courier, please describe below)

Once the depositor no longer requires the retransmitted material it will be:

securely destroyed by the depositor

returned to the Keeper for secure destruction

As well as retaining digital objects in their original format, in order to ensure their longevity the NRS’s digital preservation strategy states that where possible digital objects will be transformed into other formats for long-term preservation purposes. In order to ensure that copyright is not infringed by this, the Keeperneeds to know the copyright status of the individual digital objects.

Please tick all that apply:

Digital objects are subject to public records legislation

Digital objects are subject to Crown copyright

Digital objects are subject toParliamentary copyright

Digital objects are subject to private copyright.

Digital objects subject to private copyright – general

Please tick all that apply:

Where the depositor does not own copyright in all the records referred to in this agreement, specific information about the respective copyright holder(s):

can be found in the relevant object(s)’ descriptive metadata

is noted elsewhere (e.g. in the NRS Accessions Register)

Note location of specific information about particular copyright holders

is not recorded.

Digital objects subject to private copyright – copyright owned by depositor

Please tick as appropriate:

The depositor assigns copyright to the Crown

[where copyright is owned by the depositor and not assigned to the Crown] The depositor consents to the Keeper making copies for preservation purposes

[where copyright is owned by the depositor and not assigned to the Crown] The depositor consents to the Keeper making copies for access purposes

Authenticity, legal admissibilityand BIP 0008: 2004 compliance[2]

The Keeper of the Records of Scotland confirms that the Digital Data Archive information management system is operated in compliance with BIP 0008: 2004.

For the avoidance of doubt, this statement applies only to digital records once they are in the custody of the Keeper. Unless there is a parallel depositor’s statement noted below, in terms of BIP0008: 2004 the records cannot be regarded as having continuous authenticity for legal admissibility purposes.

Please tick and complete as appropriate:

The depositor confirms that [Insert name of system]

information management system is operated in compliance with BIP 0008: 2004.

The depositor confirms that [Insert name of system]

information management system is not operated in compliance with BIP 0008: 2004.

The deposit includes scanned documents, but not to BIP0008 standards

Where the depositor is BIP0008 compliant, authenticity in transfer will be maintained by the depositor including their checksum algorithms in object metadata. The Keeperuses a 128-bit MD5 algorithm, but other algorithms can be managed. Depositor-generated algorithms will be verified by the Keeperon transfer, and recorded.

The depositor and the Keeper agree that the following procedures will be used to ensure the continued physical security of thetransfer medium during transfer:

The depositor and the Keeper agree that the following procedures will be used to ensure that accountability is maintained throughout transfer:

Data Validation

Procedures for data validation during ingest will be agreed between the depositor and the Keeper.

Please tick as appropriate:

Based on information supplied by the depositor prior to transfer, the Keeperwillcarry out manual content and completeness checks to verify that the transmitted data is what is expected, and that it is complete.

The depositor will supply a transfer list in .xml format, containing full file paths for all objects in the deposit[3].

Reject Procedures

The Keeper reserves the right to reject data transfers at any stage of processing. The Keeper will notify the depositor of the reason for rejection. Reject reasons will include (but are not confined to):

The deposit does not conform to the agreed SIP definition;
The deposit does not contain the expected content;
The deposit is incomplete;
The deposit contains an unacceptable level of duplication (withinitself and/or with existing content already held by the Keeper);
The deposit includes insufficient metadata.

Rejected data transfers will be returned to the depositor using the original transfer method, and the depositor will be given due notice of this.

If relevant a replacement data transfer will be agreed between the depositor and the Keeper.

Acknowledgement of receipt

The Keeper will provide the depositor with receipts at the following points:

when data first received;
once data has been successfully ingested (Confirm Receipt stage). At this point:
The depositor can delete their copy of the data if this is in accordance with their internal procedures, and
the Keeper will securely erasehis copy of the data from the transfer medium.

Depositor profile

In order to manage the records referred to in this deposit agreement bothimmediately and in the future, The Keeper will maintain a table of information called the ‘Depositor’s Profile’, which will include the information described below.

Agent Name / Enter name of depositor
Agent Email / Enter email address to which NRSshould send confirmation receipts
Hardware Name / Enter name of hardware used to create the digital records referred to in this agreement
Hardware Type / Enter hardware type to which hardware name (above) refers. Choose from: processor/memory/input-output device/storage device
Creating Application Name / Enter name of creating application used to create the digital records referred to in this agreement
Creating Application Version / Enter version of creating application (above).
Transfer List Expected / Yes/No
Transfer List Initial Folder Path / Enter initial folder path for objects listed on transfer list
Permitted Actions / As per deposit agreement
Restriction on Actions / As per deposit agreement
Start date / As per deposit agreement
End date / As per deposit agreement

Document maintenance procedures

This document will be maintained by the Keeper, and it will be reviewed at least every six months or more frequently if mutually agreed. Should any element in the agreement change, anew agreement will be drawn up.

Signatures

For the Keeper / For the Depositor
Signature
Print name
Job title
Date

Appendix 1: Standards reflected in this agreement

Alan Shipman: Code of Practice for Legal Admissibility and evidential weight of information stored electronically, British Standards, BIP008-1:2004

Space data and information transfer systems – Producer-archive interface – Methodology abstract standard, British Standards, BS ISO 20652: 2006

Trustworthy Repositories Audit & Certification: Criteria and Checklist, CRL, The Center for Research Libraries and OCLC Online Computer Library Center, Inc., 2007.

(accessed 30 October 2008)

[1]See also Authenticity, legal admissibility and BIP 0008: 2004 compliance section

[2]See also Transfer section.

[3]See Depositor Profile section for Transfer list Initial Folder path detail.