Trust and Identity Document Stewardship (4/18/2017) Repository ID:​ TI.1.1 Authors: Tom Barton Emily Eisbruch David Walker <​https://orcid.org/0000-0003-2540-0644​> Ann West Mike Zawacki Sponsor: ​Ann West, AVP of Trust and Identity, Internet2 Superseded documents:​ (none) Proposed future review date:​ January 1, 2018 Subject tags:​ admin, policy © 2016 Internet2 This work is licensed under a​ ​Creative Commons Attribution 4.0 International License​. Introduction The Document Life-Cycle The Create Phase The Review Phase The Preserve Phase Legacy Documents and Documents That Are Not Reviewed Periodic Review Appendix: Role Definitions Introduction This document describes the process, called “Trust and Identity Document Stewardship”, by which Internet2 Trust and Identity's standards, policies, guidelines, recommendations, and other informational documents are drafted, proposed, vetted, approved for use, and published for open access. It is intended to address any documents that are products of work sponsored by Internet2 or one of its community advisory groups, as listed on the ​Trust and Identity Document Stewardship web or wiki page​. Examples of such products include: ● Community standards ● Policies ● Contract templates ● Specifications ● Recommendations and guidelines ● White papers Note that any software documentation for developers and end users that is related to a specific release of the software, and is distributed with software, is vetted as part of the quality assurance process for the software release and is out of scope for Trust and Identity Document Stewardship. Documents describing software lifecycle management, overall system architecture, ​etc​., however, are in scope. Individual efforts may be included, if deemed appropriate by one of the sponsors listed on the Trust and Identity Document Stewardship web or wiki page​. Fundamental to Trust and Identity Document Stewardship is the concept that documents have life cycles. They are created, then reviewed, and finally preserved for publication. These life cycles are often iterative in that a published document may be revised, re-reviewed, and republished many times. The creation and review processes will vary according to circumstances, but they will always precede publishing. Trust and Identity Document Stewardship Page 2 Also fundamental is the concept of a Document Repository that contains all published documents. The Document Repository provides long-term preservation and, therefore, contains administrative metadata describing content, provenance, requirements for periodic review, etc. End users will not typically access the Document Repository’s user interface directly, rather external web pages would provide context and link into the Document Repository for the documents themselves. The Document Life-Cycle Documents pass through three phases: ● Create. The document is a draft that is currently in the process of being written or revised by an individual or working group. ● Review. The author(s) have completed their work, and their final draft is being vetted for publishing. ● Preserve. The document has been published. The act of Publishing a document occurs as it enters the Preserve phase. It involves: ● storing the document in the Repository, if it is not already there, ● updating its metadata to reflect its current status, and ● notifying the community, as described below. A document’s sponsor is responsible for its progress through the life-cycle. The sponsor establishes the criteria for community review, approves acceptance of the document, and determines when future revision or deprecation is warranted. Typically, the sponsor will also charge authors and work groups to create the documents in the first place, although individuals may also create documents without a charge and later submit them to a sponsor. Transparency is essential during all phases of the life-cycle. The ​Trust and Identity Document Stewardship web or wiki page​ will provide notification of the status of each document. The Create Phase It is expected that many different processes will be used in this phase to Create documents. Also, the author may be an individual or a group, depending on circumstances. Trust and Identity Document Stewardship places no requirements on those processes, other than that they produce documents in one of the approved preservation formats, as described on the Trust and Identity Document Stewardship web or wiki page, and they include at least the following: ● Title ● Repository ID, obtained from the Repository Librarian Trust and Identity Document Stewardship Page 3 ● Author(s) ● Sponsor and the specific individual acting on behalf of the sponsor ● Repository IDs of superseded documents ● Proposed future review date ● Subject tags ● A copyright notice with Internet2 named as the rights holder on behalf of the community. ● A license notice that allows open access to the document, such as Creative Commons Attribution 4.0 International. Other licenses may be considered, but they must be consistent with the Internet2 IP Framework and approved by the sponsor. The Review Phase The following process is used during a document’s Review Phase with the outcome that the document is either approved for preservation, or it is returned to the authors for further revision and potential resubmission. The submitted document will include a suggested future review date, subject to review by the sponsor. It may have received preliminary vetting during its Create Phase, according to the authors’ charter. 1. The authors obtain a Repository ID from the Repository Librarian, ​if not already assigned in the Create Phase. 2. The document is transmitted to the sponsor by its author(s). 3. The sponsor may approve the document immediately, most likely because the Create Phase included community vetting, or it may request further review by members of the community, for example through the ​Trust and Identity Consultation Process​. 4. If community review is requested after the Create Phase, 4.1. The document is announced as being available for comment through the appropriate channels. The usual review period is one month, but that may vary on a case-by-case basis. 4.2. In addition to formal community members, critical friends with applicable expertise or experience should also be invited to comment. 4.3. At the end of the comment period, the sponsor determines whether the document should be approved or returned to the authors for revision. 5. When the document is approved, it enters its Preserve Phase and public notification is provided through the ​Trust and Identity Document Stewardship web or wiki page​. In order to facilitate later preservation, it is suggested that the copy of the document being reviewed be in the Document Repository, appropriately tagged as being in the Review phase. The specific process used for review may vary by document, if deemed appropriate by the document’s sponsor. Trust and Identity Document Stewardship Page 4 Review may or may not be a separate effort from creating the document. It is described as separate in this document, but it may also be incorporated into the Create phase so that documents leaving the merged Create/Review phase are ready to be approved by the sponsor to be moved to the Preserve phase. The Preserve Phase When a document enters the Preserve phase, the following steps are performed. 1. The document is published. a. A Repository ID is assigned, if not already assigned, and the document is placed in the Document Repository. b. The document’s metadata is updated appropriately. See ​The Document Repository Service​ for a description of the metadata associated with documents in the repository. c. The community is notified of the new document via appropriate channels, with a link into the Document Repository for the document itself. 2. At this time, files containing the author’s Work History may also be placed in the Document Repository. Work History includes things such as wiki materials and mailing list archives related to the document, that are not part of published documents but can illuminate the author’s thought processes. As described in ​The Document Repository Service​, the Repository Librarian will review documents’ future review dates and inform sponsors when reviews are pending. The Repository Librarian may also update metadata elements from time to time to support discovery services. Legacy Documents and Documents That Are Not Reviewed Legacy documents are those documents that have authority dating to a time prior to the creation of this process. After review by a sponsor, they should be placed in the Document Repository, appropriately annotated with metadata, recognizing that not all metadata elements may be available. Documents may be placed in the Document Repository without review, with a current status of “Not Reviewed.” Such documents will typically be Work History or documents in the Review phase, but may be other materials, as deemed appropriate by a sponsor. Periodic Review Each Approved specification will be assigned a future review date, indicating when the vetting process should be repeated for that specification, as determined in their Review phase. Trust and Identity Document Stewardship Page 5 Documents are not deprecated when they pass their future review dates; they remain with that date in the past. Sponsors are informed of approaching expiration dates to determine if the date should be extended, or if the document should be re-submitted to the Review phase or the Create phase for revision. A document that has passed its future review date is still considered to be a valid document, even if it has not received that future review. Deprecation of a document must be explicit. Trust and Identity Document Stewardship Page 6 Appendix: Role Definitions Author An individual or group that creates or revises a document. Community The collection of stakeholders, service subscribers, ​etc​. who have potential interest in the creation and review of a document. Critical Friend An individual who may not be a formal member of the community, but who has expertise or experience valuable to a document review. Librarian The Internet2 employee who is responsible for administration of the document stewardship process and the repository of preserved documents. Sponsor An individual or group that is authorized to charge authors to create documents, determine review processes, and approve documents for publishing and preservation. Sponsors are also responsible for specifying when future review and revision of documents is needed. Trust and Identity Document Stewardship Page 7