Supporting documents for public sector agencies seeking to become custodians of fundamental data
September 2014
This document should be read in conjunction with the following factsheet:
NZGO 2014 “How to become a custodian of a fundamental dataset”
Framework Overview
Custodian (leadership)
Dataset leadership - roles and relationships
Custodian (leadership) responsibilities - transactional lifecycle
Custodian (leadership) responsibilities - non-transactional lifecycle
Custodian (leadership) responsibilities - checklist
Custodian (leadership) attributes
Custodian (delivery)
Dataset delivery - roles and relationships
Custodian (delivery) responsibilities - transactional lifecycle
Custodian (delivery) responsibilities - non-transactional lifecycle
Custodian (delivery) responsibilities - checklist
Custodian (delivery) attributes
Data User Assessment Form
Dataset Profile template

Do ne r a ct io
Un de
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Responsibilities and Actions
Steward and custodian framework
Collaborate with the steward and other custodians working within the theme
• Participate in the Theme Community Group
• Chair and convene a Dataset Community Group
Fundamental data and themes
Understand the dataset at an operational level
• Understand the current state of the dataset
Understand the dataset from a user needs perspective
• Articulate user needs and vision for the dataset
• Keep up to date with activities taking place within their theme and in other themes with a common interest
Oversee and coordinate activities across the dataset
• Avoid duplication of effort and capture within the dataset
Quality
Define the quality standards and audit requirements of the dataset in collaboration with the user community
• Develop quality control and quality assurance policies
• Evaluate datasets under their agency’s custodianship to ensure they conform to the agreed quality
• Regularly audit the quality of the datasets, and report on the results of any audits conducted
• Regularly test the services provided by custodians (delivery) and report to the NZGO on the results of those tests
Privacy and Security
Safeguard the Government’s interest in the use of its information
• Develop appropriate security policy and procedures to protect the privacy of any personal data
• Select appropriate licencing agreements or letters of understanding to protect privacy and confidentiality and interpretation of the information
Funding
Determine the suitable funding model in conjunction with the steward
• Secure funding (where appropriate)
• Assist funding agencies to secure funding (where appropriate)
Promotion
Be a trusted advisor for the dataset
• Promote the dataset to users, stakeholders and the wider geospatial community
• Promote the proper use of the dataset to discourage duplication or error through ignorance
Design
Maintain conformance to appropriate national, international, or otherwise agreed standards
• Develop, in consultation with NZGO, the steward & the user community, appropriate community schemas for the management & use of the datasets in their care
• Regularly review the agreed standards to ensure that the needs of the community continue to be met
• Raise awareness of agreed standards in the user community
Describe
Ensure the dataset is described
• Provide guidance about metadata and related standards, tailored to the dataset under their custodianship
• Regularly test the metadata provided by custodians (delivery) and report on the results of those tests
Discover
Ensure the dataset is physically discoverable
• Establish processes and procedures so that datasets are discoverable in a manner consistent with the New Zealand Geospatial Strategy
• Assist custodians (delivery) to implement the processes and procedures
• Monitor and review the implementation of processes and procedures on a regular basis
• Update processes and procedures on a regular basis
Manage
Manage the datasets using good practise, for the entire lifecycle of the dataset
• Work with the steward to identify appropriate custodians (delivery)
• Work with NZGO, stewards, custodians (delivery), and the user community to agree data needs and priorities for the dataset
• Coordinate custodians (delivery) to deliver a dataset that meets the needs of the user community
• Regularly review the agreed needs and priorities to ensure that the needs of the community continue to be met
Use/Reuse
Ensure the dataset is physically accessible and available
• Establish processes and procedures so that datasets are accessible and readily available in a manner consistent with the New Zealand Geospatial Strategy
• Assist custodians (delivery) to implement the processes and procedures
• Monitor and review the implementation of processes and procedures on a regular basis
• Update processes and procedures on a regular basis
Maintain
Ensure the dataset is stored and maintained according to defined policies and procedures
• Establish appropriate storage and maintenance policy and procedures
• Assist custodians (delivery) to implement the processes and procedures
• Monitor and review the implementation of processes and procedures on a regular basis
• Update processes and procedures on a regular basis
Archive
Ensure the dataset is archived according to Archives NZ guidelines at the end of its lifecycle
• Establish appropriate archiving policy and procedures
• Assist custodians (delivery) to implement the processes and procedures
• Monitor and review the implementation of processes and procedures on a regular basis
• Update processes and procedures on a regular basis

Any organisation in New Zealand can be assigned custodianship (leadership).
A private company may hold both custodian roles (leadership and delivery) for a dataset where, for example, it owns the copyright on a dataset.
Where leadership and delivery roles are both being sought by an organisation the fit for both roles will be considered at the same time.
Potential custodians (leadership) will be assessed against the following attributes:
A. Understanding
Proposed custodians (leadership) should be able to demonstrate their understanding of: i.
the policies and procedures that are in place to support the New Zealand SDI ii.
operating in an open and transparent manner iii.
the custodianship (leadership) responsibilities iv.
the differing roles of stewards and custodians v.
the need to collaborate with the steward, custodians (both leadership and delivery),
NZGO, users, and others as required vi.
the need for continued improvement in the quality of the dataset.
B. Capacity
Proposed custodians (leadership) should be able to demonstrate that: i.
ii.
they have an appropriate level of geospatial technical maturity they have an operational need for, or interest in, the dataset iii.
there is an alignment between the provision of the dataset and the organisation’s objectives iv.
v.
they are willing and able to meet the custodianship (leadership) responsibilities they can obtain the resources needed for the collection and maintenance of the dataset.

Do ne
Un de r a ct io n ire m en t
Ne w
re qu
Responsibilities and Actions
Steward and custodian framework
Collaborate with other custodians working on the theme
• Participate in the theme community group
• Participate in the dataset community group
Fundamental data and themes
Understand the dataset at an operational level
• Understand the current state of the dataset
Understand the dataset from a user needs perspective
• Understand the user needs and vision for the dataset
• Keep up to date with activities taking place within their theme
Deliver the dataset
• Work to deliver the dataset in an efficient and transparent manner
Quality
Meet the quality standards and audit requirements of the dataset as set by the custodian (leadership)
• Provide data quality and accuracy statements to the custodian (leadership) on an annual basis
• Record an audit trail such that changes or updates to the dataset can be tracked back to source and verified, including time stamping
• Test quality control and quality assurance
Privacy and Security
Safeguard the Government’s interest in the use of its information
• Implement appropriate licencing agreements or letters of understanding to protect privacy, confidentiality and interpretation of the information
• Provide a level of appropriate security to protect the privacy of any personal data within the dataset
Promotion
Be a trusted advisor for the dataset
• Keep up to date with activities taking place within their theme and in other themes with a common interest
• Promote the dataset to users, stakeholders and the wider geospatial community
Design
Conform with appropriate national, international, or other standards and schemas as determined by the custodian (leadership)
• Implement appropriate geospatial data processing specifications required to interface with the New Zealand SDI
• Implement data models, schemas and services that conform to appropriate national, international, or otherwise agreed standards
Create
Physically acquire and/or create the datasets under their custodianship
• Apply appropriate licencing to the dataset
Describe
Describe the dataset
• Create and maintain metadata that complies with the ANZLIC Metadata Profile and Guidelines and describes the dataset in their care
• Provide full and frank quality statements about metadata
• Structure metadata as well-formed xml
Specify and define the components used in the dataset schema
• Create and maintain a data dictionary for the dataset
• Create and maintain a schedule of changes to the data dictionary
Discover
Enable datasets to be physically discoverable
• Deliver metadata for harvesting into spatial data infrastructure catalogues compatible with automated harvesting requirements
Manage
Manage the datasets using good practice, for the entire life cycle of the dataset
• Utilise appropriate operating procedures to support the existence of the dataset
• Put in place appropriate physical infrastructure to support the dataset
• Regularly review and update physical infrastructure and operating procedures
Use/Reuse
Enable datasets to be physically accessible and available
• Stand up OGC compliant web services (other methods of access may also be provided as long as those methods are consistent with the New Zealand
• Deliver dataset via methods meeting availability standards as set by custodian (leadership)
Maintain
Physically maintain the dataset
• Develop a maintenance plan for the dataset
• Maintain the dataset in accordance with the maintenance plan
• Regularly update the maintenance plan to ensure ongoing improvement
• Publish a delivery schedule for revisions of the dataset
• Define the update frequency for the dataset
Archive
Archive the dataset according to Archives NZ guidelines at the end of its lifecycle
• Implement appropriate archiving procedures

Any organisation in New Zealand can be assigned custodianship (delivery).
Where a private company does not own copyright, it is likely they would deliver a dataset under a contractual agreement with the custodian (leadership). However, the private company must also be assigned custodianship using this framework.
Potential custodians (delivery) will be assessed against the following attributes:
A. Understanding
Proposed custodians should be able to demonstrate their understanding of: i.
ii.
the custodianship (delivery) responsibilities the policies and procedures that are in place to support the New Zealand SDI iii.
operating in an open and transparent manner iv.
the need to collaborate with the steward, custodian (leadership), other custodians, NZGO, users, and others as required.
B. Capacity
Proposed custodians (delivery) should be able to demonstrate that they: i.
have experience in maintaining geospatial datasets ii.
are willing and able to meet the custodianship (delivery) responsibilities iii.
have the economic and technical ability to capture and / or maintain the dataset iv.
can abide by quality standards set for the dataset v.
are able to deliver on discoverability, accessibility, and interoperability.

[date]
To (user entity):
Custodian to complete:
Re (name of dataset):
Part A. Introduction
We are reviewing the future of the above dataset and wish to obtain your views of its value to your business. This information will be incorporated into our planning for the dataset. We will advise you of any changes proposed once any decisions are made.
All information you provide in this form will be treated in strict confidence. We may contact you to clarify the information provided.
Part B. Dataset information
Custodian to complete:
Brief description of dataset:
Custodian contact name:
Email:
Contact phone number:
Once completed, please return this assessment to the above contact person.
Part C. Data user contact details
Name of person completing this form: Click here to enter text.
Position: Click here to enter text.
Contact email: Click here to enter text.
Contact phone number: Click here to enter text.

Part D. User assessment
Q1. Is the dataset critical for your business? If so, how?
Click here to enter text.
Q2. What benefits do you realise from using the dataset?
Click here to enter text.
Q3. Are there any alternatives to the dataset if it were not available?
Click here to enter text.
Q4. Is any additional processing and/or re-projecting/reformatting required to utilise the dataset?
Click here to enter text.
Q5. What types of product or service does the dataset contribute to (or is incorporated into)?
Click here to enter text.
Q6. How is the dataset used e.g. contextual layer; part of a product/service; input layer to create other datasets; other?
Click here to enter text.
Q7. What part of the dataset is used e.g. basic layer; aliases; complete hierarchy; etc?
Click here to enter text.
Q8. Are any enhancements required?
Click here to enter text.
Q9. Are there any other factors about the dataset you wish to be taken into account?
Click here to enter text.

Thank you for your time and thoughts.

Purpose:
This profile template has been designed for use by custodians of fundamental datasets.
Once completed, the profile should be provided to the theme steward and NZGO. This information will be used to help identify how the dataset complements other fundamental datasets held in the public sector. The completed profile will also give custodians a starting point for further development work on the dataset.
Please note:
 The information you provide to the theme steward and NZGO is not expected to be detailed, but it should be as accurate as possible.
 Initially, the completed profile should be about 2-3 pages in length.
 More detailed knowledge is likely to emerge over time as you work on the dataset.
Title
Alternate title
The official name used for the dataset.
Where no formal name exists for the dataset, a useful name for the dataset should be assigned.
Title naming conventions should be consistently used for related datasets (e.g. to facilitate discovery). To discriminate between duplicate titles, a reference to the version should be included in the title.
For identification purposes, it is important to carefully complete this element.
Other users should easily understand the title.
Short name or other language name by which the cited information is known e.g. "DCW" as an alternative title for "Digital Chart of the World".
Fundamental data theme within which the dataset has been placed. Theme
Profile version Date and version number of this profile.
Abstract
Purpose
The identification abstract provides additional information about the dataset.
This may allow users to obtain a better appreciation of the dataset and assist them to determine fitness for purpose.
Description of why the dataset was developed.
The Purpose element is similar to the Abstract element in that it amplifies the results of dataset searches to permit users to obtain a better appreciation of the dataset and assist determine fitness for purpose.
The abstract should provide sufficient information, such as key words, to adequately describe the content of the dataset. Careful consideration should be given when preparing an abstract as it is an important element for the assessment of a dataset.
Responsible party Name and position information for an individual or organization that is

responsible for the dataset.
Key users & usage Description of the key users of the dataset:
 name of organisation
 sector/industry they are in
 the primary focus of their business
 specific business application(s) for which the dataset has been or is being used
 how the dataset contributes to achieving their objectives.
Extent
Format
A basic description of the geographic, vertical and temporal extent of the dataset plus a textual definition of the spatial and temporal extent of the dataset.
Description of the computer language construct that specifies the representation of data objects in a record, file, message, storage device or transmission channel.
Metadata
Standards
Data quality
Core information covering the following:
 status: confirmation that the dataset does/does not have a metadata profile
 standard name & version: name and version of the metadata standard
(including profile name) used
 location: the catalogue service holding the metadata, preferably a
Uniform Dataset Identifier (URI) if available.
Relevant standard for the dataset, including: ISO 19100 series, OGC web standards and any applicable Australia & New Zealand standards.
General summary of the quality and completeness of the dataset.
Status Status of the dataset or progress of a review.
Please select a description from the list below and provide relevant contextual information. status completed definition production of the data has been completed ongoing planned data is continually being updated fixed date has been established upon or by which the data will be created or updated required data needs to be generated or updated underdevelopment data is currently in the process of being created

Access
Distribution
Point of contact
Access constraints applied to assure the protection of privacy or intellectual property, and any special restrictions or limitations on obtaining the dataset or metadata.
Please select a description from the list (below) and provide relevant supporting information. access type copyright definition exclusive right to the publication, production, or sale of the rights to a literary, dramatic, musical, or artistic work, or to the use of a commercial print or label, granted by law for a specified period of time to an author, composer, artist, distributor patent patent pending government has granted exclusive right to make, sell, use or license an invention or discovery produced or sold information awaiting a patent trademark licence commons intellectual property rights restricted other restrictions unknown a name, symbol, or other device identifying a product, officially registered and legally restricted to the use of the owner or manufacturer formal permission to do something creative commons licence rights to financial benefit from and control of distribution of non-tangible property that is a result of creativity withheld from general circulation or disclosure limitation not listed yet to be determined
Information about the distributor of the dataset, if known.
The identification point of contact contains details about the individual, organisation and/or position associated with the dataset.