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[]
[null,"PREPARING FOR AN ISO 16363 AUDIT: "]
[]
[null,"STEPS FOR PREPARING THE REPOSITORY"]
[]
[null,"PREFACE:  The International Organization for Standardization published Audit and Certification of Trustworthy Digital Repositories as ISO 16363 in February 2012. Publication of the corresponding Requirements for Bodies Providing Audit and Certification of Candidate Trustworthy Digital Repositories, draft ISO 16919, has been delayed as the Primary Trusted Digital RepositoryAuthorisation Body (PTAB), which drafted ISO 16363 and ISO 16919, works with two ISO affiliated bodies, the ISO Committee for Conformity Assessment (CASCO) and the International Accreditation Forum(IAF), over their respective roles in the audit and certification process for Trusted Digital Repositories.  Until this discussion is concluded and the associated language in the draft ISO 16919 is completed and published, no ISO 16363 audit can be conducted nor any ISO 16363 certification issued."]
[null,"In anticipation of discussions with CASCO and IAF resulting in the publication of ISO 16919, the development of approved audit bodies in various countries, and the conduct of approved audits, PTAB offers the following suggested steps for digital repositories to prepare for ISO 16363 audits. "]
[]
[null,"WHAT IS AN ISO 16363 AUDIT? An ISO 16363 audit should include a period of preparation by the digital repository and a site visit by an audit team, resulting in a formal report to the digital repository and, if appropriate, issuance of certification to the digital repository. The process should begin long before the actual audit with the repository assembling materials  to address the ISO 16363 metrics. Following the initial certification audit, repositories may be subject to subsequent audits if they wish to maintain certification over time."]
[]
[null,"ADVANTAGES OF ISO 16363 CERTIFICATION:  ISO standards are part of a suite of standards at the repository, national, and international levels that demonstrate trustworthy and responsible data management and stewardship.  They provide digital repositories of all sizes with direction for demonstrating their adherence to quality and consistency, to respect for data integrity, and a commitment to the long-term preservation of and access to the information entrusted to their care. ISO 16363 certification demonstrates compliance with the requirements that are necessary for recognition as a trustworthy digital repository. The ISO 16363 metrics focus on combining the mechanics of computer systems and information technology security with the spirit and sensitivity of being a trustworthy digital repository entrusted with the care of digital information of long-term value for multiple communities and future generations."]
[]
[null,"STEPS TO TAKE:"]
[null,"1.     Obtain a copy of ISO 16363.  The Consultative Committee for Space Data Systems (CCSDS), which co-sponsored the development of ISO 16363, makes the text of the standard that was provided to ISO available on its website at: http://public.ccsds.org/publications/archive/652x1m1.pdf"]
[null,"2.     Review the document."]
[null,"3.     Obtain a copy of the Self-Assessment Template for ISO 16363. [this spreadsheet]"]
[null,"4.     Conduct self-assessments to identify shortcomings and help identify any “surprises.”"]
[null,"5.     Determine which metrics apply to the repository. If the repository believes that any metrics do not apply, document why the metric does not apply."]
[null,"6.     Determine which metrics are being met successfully and provide examples to document how the repository meets each metric."]
[null,"7.     Determine which metrics are not being met and what measures need to be implemented to achieve and document success for that metric."]
[null,"8.     Determine what resources (additional or reallocated) are required to achieve success."]
[null,"9.     Refer to external resources, such as case studies and best practices, as desired and available."]
[null,"10.  Incorporate findings from previous audits conducted of the repository or similar institutions if such results are available.  These could include information technology security audits, ISO 9000 suite audits, quality assurance audits, risk assessments, and similar evaluations."]
[null,"11.  Populate and maintain the Self-Assessment Template for ISO 16363 to better organize and track progress on meeting the metrics and prepare for an ISO 16363 audit when they can be performed."]
[]
[null,"USING ISO 16363 TO COMPLETE THE REPOSITORY SELF-ASSESSMENT:"]
[null,"1.     After reviewing each of the metrics specified in ISO 16363, begin identifying the titles of existing documents that describe policies, procedures, and practices relevant to the standard."]
[null,"2.     Open the spreadsheet, Self-Assessment Template for ISO 16363, and read each metric."]
[null,"3.     For each metric, in the column labeled, “Brief Description of Evidence”, of the Self-Assessment Template for ISO 16363, record the id numbers/short titles of the documents that serve as evidence that the repository is complying with the requirement that is described within a particular row of the spreadsheet. Provide a more detailed description of the documents under the Reference tab of the spreadsheet"]
[null,"4.     For each metric, in the column labeled, “Repository Explanation”, of the Self-Assessment Template for ISO 16363, record a brief explanation of how the repository utilizes the evidence, previously described, to attain compliance with the metric. Please answer in complete sentences, with references to documentation as necessary."]
[null,"5.     Present the completed Self-Assessment Template for ISO 16363 to members of the repository management team and key staff members to verify that the correct documents are listed as evidence for each metric and that the explanation, which describes how the repository utilizes the evidence to meet each metric, is correct. Please ensure that explanations and terminology are consistent when metrics have been answered by different departments and staff members."]
[null,"6.     Request corrections and suggestions from the repository management team and from key staff members for improving the information recorded within the completed Self-Assessment Template for ISO 16363."]
[null,"7.     Revise the Self-Assessment Template for ISO 16363 to record the corrections and improvements suggested by the repository management team and by key staff members."]
[null,"8.     Review the entire Self-Assessment Template for ISO 16363 to identify any metrics that have not been completed."]
[null,"9.     For each metric that has not been completed, review ISO 16363, to understand the metric, and discuss the metric with the repository management team and key staff to identify the titles of the evidence documenting how the metric is being met and describe how the repository is using the documents to meet the metric."]
[null,"10.  Repeat the review process with the repository management team and key staff members to correct and improve the description of how each metric is being met in the Self-Assessment Template for ISO 16363."]
[]
[null,"HOW PTAB CAN HELP?  PTAB members have been organizing workshops and participating in other training opportunities and conference proceedings to keep the digital preservation community informed of the current status of ISO 16919 and when ISO 16363 audits can begin .  Please check back at http://www.iso16363.org/for the latest updates. "]

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["3. ORGANIZATIONAL INFRASTRUCTURE"]
["3.1 GOVERNANCE & ORGANIZATIONAL VIABILITY  "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"3.1.1 ","THE REPOSITORY SHALL HAVE A MISSION STATEMENT THAT REFLECTS A COMMITMENT TO THE PRESERVATION OF, LONG TERM RETENTION OF, MANAGEMENT OF, AND ACCESS TO DIGITAL INFORMATION.","This is necessary in order to ensure commitment to preservation and access at the repository’s highest administrative level. ","Mission statement or charter of the repository or its parent organization that specifically addresses or implicitly calls for the preservation of information and/or other resources under its purview; a legal, statutory, or government regulatory mandate applicable to the repository that specifically addresses or implicitly requires the preservation of information and/or other resources under its purview. "]
[null,"3.1.2","THE REPOSITORY SHALL HAVE A PRESERVATION STRATEGIC PLAN THAT DEFINES THE APPROACH THE REPOSITORY WILL TAKE IN THE LONG-TERM SUPPORT OF ITS MISSION","This is necessary in order to help the repository make administrative decisions, shape policies and allocate resources in order to successfully preserve its holdings.","Preservation Strategic Plan; meeting minutes; documentation of administrative decisions which have been made."]
[null,"3.1.2.1 ","The repository shall have an appropriate, formal succession plan, contingency plans, and/or escrow arrangements in place in case the repository ceases to operate or the governing or funding institution substantially changes its scope. "," This is necessary in order to preserve the information content entrusted to the repository by handing it on to another custodian in the case that the repository ceases to operate. ","Written and credible succession and contingency plan(s); explicit and specific statement documenting the intent to ensure continuity of the repository, and the steps taken and to be taken to ensure continuity; escrow of critical code, software, and metadata sufficient to enable reconstitution of the repository and its content in the event of repository failure; escrow and/or reserve funds set aside for contingencies; explicit agreements with successor organizations documenting the measures to be taken to ensure the complete and formal transfer of responsibility for the repository’s digital content and related assets, and granting the requisite rights necessary to ensure continuity of the content and repository services."]
[null,"3.1.2.2","The repository shall monitor its organizational environment to determine when to execute its formal succession plan, contingency plans, and/or escrow arrangements "," This is necessary in order to ensure that the repository can recognize when it is necessary to execute those plans.","Administrative policies, procedures, protocols, requirements; budgets and financial analysis documents; fiscal calendars; business plan(s); any evidence of active monitoring and preparedness. "]
[null,"3.1.3","THE REPOSITORY SHALL HAVE A COLLECTION POLICY OR OTHER DOCUMENT THAT SPECIFIES THE TYPE OF INFORMATION IT WILL PRESERVE, RETAIN, MANAGE AND PROVIDE ACCESS TO. ","This is necessary in order that the repository has guidance on acquisition of digital content it\nwill preserve, retain, manage and provide access to."," Collection policy and supporting documents, Preservation Policy, mission, goals and vision of the repository."]
["3.2 ORGANIZATIONAL STRUCTURE & STAFFING "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"3.2.1","THE REPOSITORY SHALL HAVE IDENTIFIED AND ESTABLISHED THE DUTIES THAT IT NEEDS TO PERFORM AND SHALL HAVE APPOINTED STAFF WITH ADEQUATE SKILLS AND EXPERIENCE TO FULFIL THESE DUTIES. ","Staffing of the repository should be by personnel with the required training and skills to carry\nout the activities of the repository. The repository should be able to document through\ndevelopment plans, organizational charts, job descriptions, and related policies and\nprocedures that the repository is defining and maintaining the skills and roles that are\nrequired for the sustained operation of the repository.","Organizational charts; definitions of roles and responsibilities; comparison of staffing levels to industry benchmarks and standards. "]
[null,"3.2.1.1","The repository shall have identified and established the duties that it needs to perform.  ","This is necessary in order to ensure that the repository can complete all tasks associated with the long-term preservation and management of the data objects.  ","A staffing plan; competency definitions; job descriptions; staff professional development plans; certificates of training and accreditation; plus evidence that the repository reviews and maintains these documents as requirements evolve."]
[null,"3.2.1.2"," The repository shall have the appropriate number of staff to support all functions and services. ","This is necessary in order to ensure repository staffing levels are adequate for preserving the digital content and providing a secure, quality repository. ","Organizational charts; definitions of roles and responsibilities; comparison of staffing levels to industry benchmarks and standards. "]
[null,"3.2.1.3","The repository shall have in place an active professional development program that provides staff with skills and expertise development opportunities.","This is necessary to ensure that staff skill sets evolve as the repository technology and preservation procedures changes.","Professional development plans and reports; training requirements and training budgets, documentation of training expenditures (amount per staff); performance goals and documentation of staff assignments and achievements, copies of certificates awarded. "]
["3.3 PROCEDURAL ACCOUNTABILITY & PRESERVATION POLICY FRAMEWORK "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"3.3.1","THE REPOSITORY SHALL HAVE DEFINED ITS DESIGNATED COMMUNITY AND ASSOCIATED KNOWLEDGE BASE(S) AND SHALL HAVE THESE DEFINITIONS APPROPRIATELY ACCESSIBLE. ","This is necessary in order that it is possible to test that the repository meets the needs of its Designated Community."," A written definition of the Designated Community."]
[null,"3.3.2 ","THE REPOSITORY SHALL HAVE PRESERVATION POLICIES IN PLACE TO ENSURE ITS PRESERVATION STRATEGIC PLAN WILL BE MET. ","This is necessary in order to ensure that the repository can fulfill that part of its mission related to preservation","Preservation Policies; Repository Mission Statement."]
[null,"3.3.2.1","The repository shall have mechanisms for review, update, and ongoing development of its Preservation Policies as the repository grows and as technology and community practice evolve. ","This is necessary in order that the repository has up-to-date, complete policies and procedures in place that reflect the current requirements and practices of its community(ies) for preservation. ","Current and past written documentation in the form of Preservation Policies, Preservation Strategic Plans and Preservation Implementation Plans, procedures, protocols, and workflows; specifications of review cycles for documentation; documentation detailing reviews, surveys and feedback. If documentation is embedded in system logic, functionality should demonstrate the implementation of policies and procedures. "]
[null,"3.3.3 ","THE REPOSITORY SHALL HAVE A DOCUMENTED HISTORY OF THE CHANGES TO ITS OPERATIONS, PROCEDURES, SOFTWARE, AND HARDWARE. ","This is necessary in order to provide an “audit trail” through which stakeholders can identify and trace decisions made by the repository.","Capital equipment inventories; documentation of the acquisition, implementation, update, and retirement of critical repository software and hardware; file retention and disposal schedules and policies, copies of earlier versions of policies and procedures; minutes of meetings."]
[null,"3.3.4 ","THE REPOSITORY SHALL COMMIT TO TRANSPARENCY AND ACCOUNTABILITY IN ALL ACTIONS SUPPORTING THE OPERATION AND MANAGEMENT OF THE REPOSITORY THAT AFFECT THE PRESERVATION OF DIGITAL CONTENT OVER TIME. ","This is necessary because transparency, in the sense of being available to anyone who wishes to know, is the best assurance that the repository operates in accordance with accepted standards and practices. "," Reports of financial and technical audits and certifications; disclosure of governance documents, independent program reviews, and contracts and agreements with providers of funding and critical services. "]
[null,"3.3.5 ","THE REPOSITORY SHALL DEFINE, COLLECT, TRACK, AND APPROPRIATELY PROVIDE ITS INFORMATION INTEGRITY MEASUREMENTS. ","This is necessary in order to provide documentation that it has developed or adapted appropriate measures for ensuring the integrity of its holding"," Written definition or specification of the repository's integrity measures (for example, computed checksum or hash value); documentation of the procedures and mechanisms for monitoring integrity measurements and for responding to results of integrity measurements that indicate digital content is at risk; an audit process for collecting, tracking and presenting integrity measurements; Preservation Policy and workflow documentation. "]
[null,"3.3.6 ","THE REPOSITORY SHALL COMMIT TO A REGULAR SCHEDULE OF SELF-ASSESSMENT AND EXTERNAL CERTIFICATION. ","This is necessary in order to ensure the repository continues to be trustworthy and there is no threat to its content. "," Completed, dated checklists from self-assessments and/or third-party audits; certificates awarded for compliance with relevant ISO standards; timetables and evidence of adequate budget allocations for future certification. "]
["3.4 FINANCIAL SUSTAINABILITY "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"3.4.1 ","THE REPOSITORY SHALL HAVE SHORT- AND LONG-TERM BUSINESS PLANNING PROCESSES IN PLACE TO SUSTAIN THE REPOSITORY OVER TIME. ","This is necessary in order to ensure the viability of the repository over the period of time it has promised to provide access to its contents for its Designated Community.","Up-to-date, multi-year strategic, operating and/or business plans; audited annual financial statements; financial forecasts with multiple budget scenarios; contingency plans; market analysis. "]
[null,"3.4.2 ","THE REPOSITORY SHALL HAVE FINANCIAL PRACTICES AND PROCEDURES WHICH ARE TRANSPARENT, COMPLIANT WITH RELEVANT ACCOUNTING STANDARDS AND PRACTICES, AND AUDITED BY THIRD PARTIES IN ACCORDANCE WITH TERRITORIAL LEGAL REQUIREMENTS. ","This is necessary in order to guard against malfeasance or other untoward activity that might threaten the economic viability of the repository.","Demonstrated dissemination requirements for business planning and practices; citations to and/or examples of accounting and audit requirements, standards, and practice; audited annual financial statements. "]
[null,"3.4.3 ","THE REPOSITORY SHALL HAVE AN ONGOING COMMITMENT TO ANALYZE AND REPORT ON RISK, BENEFIT, INVESTMENT, AND EXPENDITURE (INCLUDING ASSETS, LICENSES, AND LIABILITIES). ","This is necessary in order to demonstrate that the repository has identified and documented these categories, and actively manages them, including identifying and responding to risks, describing and leveraging benefits, specifying and balancing investments, and anticipating and preparing for expenditures","Risk management documents that identify perceived and potential threats and planned or implemented responses (a risk register); technology infrastructure investment planning documents; cost/benefit analyses; financial investment documents and portfolios; requirements for and examples of licenses, contracts, and asset management; evidence of revision based on risk. "]
["3.5 CONTRACTS, LICENSES, & LIABILITIES"]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"3.5.1 ","THE REPOSITORY SHALL HAVE AND MAINTAIN APPROPRIATE CONTRACTS OR DEPOSIT AGREEMENTS FOR DIGITAL MATERIALS THAT IT MANAGES, PRESERVES, AND/OR TO WHICH IT PROVIDES ACCESS. ","This is necessary in order to ensure that the repository has the rights and authorizations needed to enable it to collect and preserve digital content over time, make that information available to its Designated Community, and defend those rights when challenged. ","Properly signed and executed deposit agreements and licenses in accordance with local,\nnational, and international laws and regulations; policies on third-party deposit arrangements;\ndefinitions of service levels and permitted uses; repository policies on the treatment of\n‘orphan works’ and copyright dispute resolution; reports of independent risk assessments of\nthese policies; procedures for regularly reviewing and maintaining agreements, contracts, and\nlicenses."]
[null,"3.5.1.1","The repository shall have contracts or deposit agreements which specify and transfer all necessary preservation rights, and those rights transferred shall be documented. ","This is necessary in order to have sufficient control of the information for preservation and limit the repository’s exposure to liability or legal and financial harm."," Contracts, deposit agreements; specification(s) of rights transferred for different types of digital content (if applicable); policy statements on requisite preservation rights. "]
[null,"3.5.1.2","The repository shall have specified all appropriate aspects of acquisition, maintenance, access, and withdrawal in written agreements with depositors and other relevant parties. "," This is necessary in order to ensure that the respective roles of repository, producers and contributors in the depositing of digital content and transfer of responsibility for preservation are understood and accepted by all parties ","Properly executed submission agreements, deposit agreements, and deeds of gift; written standard operating procedures"]
[null,"3.5.1.3","The repository shall have written policies that indicate when it accepts preservation responsibility for contents of each set of submitted data objects","This is necessary in order to avoid misunderstandings between the repository and producer/depositor as to when and how the transfer of responsibility for the digital content occurs. ","Properly executed submission agreements, deposit agreements, and deeds of gift; confirmation receipt sent back to producer/depositor. "]
[null,"3.5.1.4","The repository shall have policies in place to address liability and challenges to ownership/rights. ","This is necessary in order to minimize potential liability and challenges to the rights of the repository","A definition of rights, licenses and permissions to be obtained from producers and contributors of digital content; citations to relevant laws and regulations; policy on responding to challenges; documented track record for responding to challenges in ways that do not inhibit preservation; records of relevant legal advice sought and received. "]
[null,"3.5.2 ","THE REPOSITORY SHALL TRACK AND MANAGE INTELLECTUAL PROPERTY RIGHTS AND RESTRICTIONS ON USE OF REPOSITORY CONTENT AS REQUIRED BY DEPOSIT AGREEMENT, CONTRACT, OR LICENSE. ","This is necessary in order to allow the repository to track, act on, and verify rights and restrictions related to the use of the digital objects within the repository. "," A Preservation Policy statement that defines and specifies the repository’s requirements and process for managing intellectual property rights; depositor agreements; samples of agreements and other documents that specify and address intellectual property rights; documentation of monitoring by repository over time of changes in status and ownership of intellectual property in digital content held by the repository ; results from monitoring, metadata that captures rights information. "]

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["4 DIGITAL OBJECT MANAGEMENT "]
["4.1 INGEST: ACQUISITION OF CONTENT"]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.1.1 ","THE REPOSITORY SHALL IDENTIFY THE CONTENT INFORMATION AND THE INFORMATION PROPERTIES THAT THE REPOSITORY WILL PRESERVE. ","This is necessary in order to make it clear to funders, depositors and users what responsibilities the repository is taking on and what aspects are excluded. It is also a necessary step in defining the information which is needed from the information producers or depositors. ","Mission statement; submission agreements/deposit agreements/deeds of gift; workflow and Preservation Policy documents, including written definition of properties as agreed in the deposit agreement/deed of gift; written processing procedures; documentation of properties to be preserved. "]
[null,"4.1.1.1 ","The repository shall have a procedure(s) for identifying those Information Properties that it will preserve. ","This is necessary to establish a clear understanding with depositors, funders, and the repository's Designated Communities how the repository determines and checks what the characteristics and properties of preserved items will be over the long term. These procedures will be necessary to confirm authenticity or to identify erroneous claims of authenticity of the preserved digital record. ","Definitions of the Information Properties which should be preserved; Submission agreements/deposit agreements, Preservation Policies, written processing procedures, workflow documentation. "]
[null,"4.1.1.2 ","The repository shall have a record of the Content Information and the Information Properties that it will preserve. ","This is necessary in order to identify in writing the Content Information of the records for which it has taken preservation responsibility and the Information Properties it has committed to preserve for those records based on their Content Information. ","Preservation Policies, processing manuals, collection inventories or surveys, logs of Content Information types acquired, preservation strategies, and action plans. "]
[null,"4.1.2 ","THE REPOSITORY SHALL CLEARLY SPECIFY THE INFORMATION THAT NEEDS TO BE ASSOCIATED WITH SPECIFIC CONTENT INFORMATION AT THE TIME OF ITS DEPOSIT. ","This is necessary in order that there is a clear understanding of what needs to be acquired from the Producer. ","Transfer requirements; producer-archive agreements; workflow plans to produce the AIP"]
[null,"4.1.3 ","THE REPOSITORY SHALL HAVE ADEQUATE SPECIFICATIONS ENABLING RECOGNITION AND PARSING OF THE SIPS. ","This is necessary in order to be sure that the repository is able to extract information from the SIPs. ","Packaging Information for the SIPs; Representation Information for the SIP Content Data, including documented file format specifications; published data standards; documentation of valid object construction."]
[null,"4.1.4 ","THE REPOSITORY SHALL HAVE MECHANISMS TO APPROPRIATELY VERIFY THE DEPOSITOR OF ALL MATERIALS. ","This is necessary in order to avoid providing erroneous provenance to the information which is preserved. ","Legally binding submission agreements/deposit agreements/deeds of gift, evidence of appropriate technological measures; logs from procedures and authentications."]
[null,"4.1.5 ","THE REPOSITORY SHALL HAVE AN  INGEST PROCESS WHICH VERIFIES EACH SIP FOR COMPLETENESS AND CORRECTNESS. ","This is necessary in order to detect and correct errors in the SIP when created and potential transmission errors between the depositor and the repository. ","Appropriate Preservation Policy and Preservation Implementation Plan documents and system log files from system(s) performing ingest procedure(s); logs or registers of files received during the transfer and ingest process;  documentation of standard operating procedures, detailed procedures, and/or workflows; format registries; definitions of completeness and correctness."]
[null,"4.1.6 ","THE REPOSITORY SHALL OBTAIN SUFFICIENT CONTROL OVER THE DIGITAL OBJECTS TO PRESERVE THEM. ","This is necessary in order to ensure that the preservation can be accomplished, with physical control, and is authorized, with legal control.","Documents showing the level of physical control the repository actually has. A separate database/metadata catalog listing all of the digital objects in the repository and metadata sufficient to validate the integrity of those objects (file size, checksum, hash, location, number of copies, etc.)"]
[null,"4.1.7 ","THE REPOSITORY SHALL PROVIDE THE PRODUCER/DEPOSITOR WITH APPROPRIATE RESPONSES AT AGREED POINTS DURING THE INGEST PROCESSES. ","This is necessary in order to ensure that the producer can verify that there are no inadvertent lapses in communication which might otherwise allow loss of SIPs. ","Submission agreements/deposit agreements/deeds of gift; workflow documentation; standard operating procedures; evidence of ‘reporting back’ such as reports, correspondence, memos, or emails."]
[null,"4.1.8 ","THE REPOSITORY SHALL HAVE CONTEMPORANEOUS RECORDS OF ACTIONS AND ADMINISTRATION PROCESSES THAT ARE RELEVANT TO CONTENT ACQUISITION. ","This is necessary to ensure that such documentation, which may be needed in an audit, is captured and is accurate and authentic. ","Written documentation of decisions and/or action taken; preservation metadata logged, stored, and linked to pertinent digital objects, confirmation receipts sent back to providers."]
["4.2 INGEST: CREATION OF THE AIP "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.2.1 ","THE REPOSITORY SHALL HAVE FOR EACH AIP OR CLASS OF AIPS PRESERVED BY THE REPOSITORY AN ASSOCIATED DEFINITION THAT IS ADEQUATE FOR PARSING THE AIP AND FIT FOR LONG-TERM PRESERVATION NEEDS.","This is necessary to ensure that the AIP and its associated definition, including appropriate Packaging Information, can always be found, processed and managed within the archive."]
[null,"4.2.1.1 ","The repository shall be able to identify which definition applies to which AIP. ","This is necessary to ensure that the appropriate definition is used when parsing/interpreting an AIP. ","Documentation clearly linking each AIP, or class of AIPs, to its definition."]
[null,"4.2.1.2 ","The repository shall have a definition of each AIP that is adequate for long term preservation, enabling the identification and parsing of all the required components within that AIP. ","This is necessary in order to explicitly show that the AIPs are fit for their intended purpose, that each component of an AIP has been adequately conceived and executed and the plans for the maintenance of each AIP are in place. (See 4.3, Preservation Planning, below.)","Demonstration of the use of the definitions to extract Content Information and PDI\n(Provenance, Access Rights, Context, Reference, and Fixity Information) from AIPs. It should be noted that the Provenance of a digital object, for example, may be extended over time to reflect additional preservation actions."]
[null,"4.2.2 ","THE REPOSITORY SHALL HAVE A DESCRIPTION OF HOW AIPS ARE CONSTRUCTED FROM SIPS. ","This is necessary in order to ensure that the AIP(s) adequately represents the information in the SIP(s). ","Process description documents; documentation of the SIP-AIP relationship; clear documentation of how AIPs are derived from SIPs."]
[null,"4.2.3","THE REPOSITORY SHALL DOCUMENT THE FINAL DISPOSITION OF ALL SIPS ","see sub-metric","see sub-metric"]
[null,"4.2.3.1 ","The repository shall follow documented procedures if a SIP is not incorporated\ninto an AIP or discarded and shall indicate why the SIP was not incorporated or discarded.","This is necessary in order to ensure that the SIPs received have been dealt with appropriately, and in particular have not been accidentally lost. ","System processing files; disposal records; donor or depositor agreements/deeds of gift; provenance tracking system; system log files; process description documents; documentation of SIP relationship to AIP; clear documentation of how AIPs are derived from SIPs; documentation of standard/process against which normalization occurs; documentation of normalization outcome and how the resulting AIP is different from the SIP(s)."]
[null,"4.2.4 ","THE REPOSITORY SHALL HAVE AND USE A CONVENTION THAT GENERATES PERSISTENT, UNIQUE IDENTIFIERS FOR ALL AIPS","This is necessary in order to ensure that each AIP can be unambiguously found in the future. This is also necessary to ensure that each AIP can be distinguished from all other AIPs in the repository","Documentation describing naming convention and physical evidence of its application (e.g., logs)."]
[null,"Note: In particular the following aspects must be checked:"]
[null,"4.2.4.1 ","The repository shall uniquely identify each AIP within the repository. "]
[null,"4.2.4.1.1 ","The repository shall have unique identifiers. "]
[null,"4.2.4.1.2","The repository shall assign and maintain persistent identifiers of the AIP and its components so as to be unique within the context of the repository. "]
[null,"4.2.4.1.3 ","Documentation shall describe any processes used for changes to such identifiers. "]
[null,"4.2.4.1.4 ","The repository shall be able to provide a complete list of all such identifiers and do spot checks for duplications. "]
[null,"4.2.4.1.5 ","The system of identifiers shall be adequate to fit the repository’s current and foreseeable future requirements such as numbers of objects. "]
[null,"4.2.4.2 ","The repository shall have a system of reliable linking/resolution services in order to find the uniquely identified object, regardless of its physical location. ","This is necessary in order that actions relating to AIPs can be traced over time, over system changes, and over storage changes.","Documentation describing naming convention and physical evidence of its application (e.g., logs)."]
[null,"4.2.5 ","THE REPOSITORY SHALL HAVE ACCESS TO NECESSARY TOOLS AND RESOURCES TO PROVIDE AUTHORITATIVE REPRESENTATION INFORMATION FOR ALL OF THE DIGITAL OBJECTS IT CONTAINS. ","This is necessary in order to ensure that the repository’s digital objects are understandable to the Designated Community.","Subscription or access to registries of Representation Information (including format registries); viewable records in local registries (with persistent links to digital objects); database records that include Representation Information and a persistent link to relevant digital objects"]
[null,"Note: In particular the following aspects must be checked:"]
[null,"4.2.5.1 ","The repository shall have tools or methods to identify the file type of all submitted Data Objects. "]
[null,"4.2.5.2 ","The repository shall have tools or methods to determine what Representation Information is necessary to make each Data Object understandable to the Designated Community. "]
[null,"4.2.5.3"," The repository shall have access to the requisite Representation Information. "]
[null,"4.2.5.4 ","The repository shall have tools or methods to ensure that the requisite Representation Information is persistently associated with the relevant Data Objects. "]
[null,"4.2.6 ","THE REPOSITORY SHALL HAVE DOCUMENTED PROCESSES FOR ACQUIRING PRESERVATION DESCRIPTION INFORMATION (PDI) FOR ITS ASSOCIATED CONTENT INFORMATION AND ACQUIRE PDI IN ACCORDANCE WITH THE DOCUMENTED PROCESSES.","This is necessary in order to ensure that an auditable trail to support claims of authenticity is available, that unauthorized changes to the digital holdings can be detected, and that the digital objects can be identified and placed in their appropriate context.","Standard operating procedures; manuals describing ingest procedures; viewable documentation on how the repository acquires and manages Preservation Description Information (PDI); creation of checksums or digests, consulting with Designated Community about Context."]
[null,"Note: In particular the following aspects must be checked:"]
[null,"4.2.6.1 ","The repository shall have documented processes for acquiring PDI. "]
[null,"4.2.6.2 ","The repository shall execute its documented processes for acquiring PDI. "]
[null,"4.2.6.3 ","The repository shall ensure that the PDI is persistently associated with the relevant Content Information. "]
[null,"4.2.7 ","THE REPOSITORY SHALL ENSURE THAT THE CONTENT INFORMATION OF THE AIPS IS UNDERSTANDABLE FOR THEIR DESIGNATED COMMUNITY AT THE TIME OF CREATION OF THE AIP. ","This is necessary in order to ensure that one of the primary tests of preservation, namely that the digital holdings are understandable by their Designated Community, can be met. (See 4.3 for additional requirements for understandability beyond ingest.)","Test procedures to be run against the digital holdings to ensure their understandability to the defined Designated Community; records of such tests being performed and evaluated; evidence of gathering or identifying Representation Information to fill any intelligibility gaps which have been found; retention of individuals with the discipline expertise."]
[null,"Note: In particular the following aspects must be checked:"]
[null,"4.2.7.1 ","Repository shall have a documented process for testing understandability for their Designated Communities of the Content Information of the AIPs at their creation. "]
[null,"4.2.7.2 ","The repository shall execute the testing process for each class of Content Information of the AIPs. "]
[null,"4.2.7.3"," The repository shall bring the Content Information of the AIP up to the required level of understandability if it fails the understandability testing. "]
[null,"4.2.8 ","THE REPOSITORY SHALL VERIFY EACH AIP FOR COMPLETENESS AND CORRECTNESS AT THE POINT IT IS CREATED. ","This is necessary in order to ensure that what is maintained over the long term is as it should be and can be traced to the information provided by the Producers. ","Description of the procedure that verifies completeness and correctness of the AIPs; logs of the procedure."]
[null,"4.2.9"," THE REPOSITORY SHALL PROVIDE AN INDEPENDENT MECHANISM FOR VERIFYING THE INTEGRITY OF THE REPOSITORY COLLECTION/CONTENT. ","This is necessary to enable the audit of the integrity of the collection as a whole. ","Documentation provided for 4.2.1  through 4.2.4; documented agreements negotiated between the producer and the repository (see 4.1.1-4.1.8); logs of material received and associated action (receipt, action, etc.) dates; logs of periodic checks."]
[null,"4.2.10 ","THE REPOSITORY SHALL HAVE CONTEMPORANEOUS RECORDS OF ACTIONS AND ADMINISTRATION PROCESSES THAT ARE RELEVANT TO AIP CREATION. ","This is necessary in order to ensure that nothing relevant is omitted from the record that might be needed to provide an independent means to verify that all AIPs have been properly created in accord with the documented procedures (see 4.2.1. through 4.2.9). It is the responsibility of the repository to justify its practice in this respect. ","Written documentation of decisions and/or action taken with timestamps; preservation metadata logged, stored, and linked to pertinent digital objects."]
["4.3 PRESERVATION PLANNING "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.3.1 ","THE REPOSITORY SHALL HAVE DOCUMENTED PRESERVATION STRATEGIES RELEVANT TO ITS HOLDINGS. ","This is necessary in order that it is clear how the repository plans to ensure the information will remain available and usable for future generations and to provide a means to check and validate the preservation work of the repository. ","Documentation identifying each preservation risk identified and the strategy for dealing with that risk."]
[null,"4.3.2 ","THE REPOSITORY SHALL HAVE MECHANISMS IN PLACE FOR MONITORING ITS PRESERVATION ENVIRONMENT. ","This is necessary so that the repository can react to changes and thereby ensure that the preserved information remains understandable and usable by the Designated Community. ","Surveys of the Designated Community of the repository."]
[null,"4.3.2.1 ","The repository shall have mechanisms in place for monitoring and notification when Representation Information is inadequate for the Designated Community to understand the data holdings.    ","This is necessary in order to ensure that the preserved information remains understandable and usable by the Designated Community. ","Subscription to a Representation Information registry service; subscription to a technology watch service, surveys amongst its Designated Community members, relevant working processes to deal with this information."]
[null,"4.3.3  ","THE REPOSITORY SHALL HAVE MECHANISMS TO CHANGE ITS PRESERVATION PLANS AS A RESULT OF ITS MONITORING ACTIVITIES.","This is necessary in order for the repository to be prepared for changes in the external environment that may make its current preservation plans a bad choice as the time to implement draws near. ","Preservation Plans tied to formal or informal technology watch(es); preservation planning or processes that are timed to shorter intervals (e.g., not more than five years); proof of frequent Preservation Policies and Preservation Plans updates; sections of Preservation Policies that address how plans may be updated and that address how often the plans are required to be reviewed and reaffirmed or updated."]
[null,"4.3.3.1 ","The repository shall have mechanisms for creating, identifying or gathering any extra Representation Information required.  ","This is necessary in order to ensure that the preserved information remains understandable and usable by the Designated Community.","Subscription to a format registry service; subscription to a technology watch service; preservation plans."]
[null,"4.3.4 ","THE REPOSITORY SHALL PROVIDE EVIDENCE OF THE EFFECTIVENESS OF ITS PRESERVATION ACTIVITIES. ","This is necessary in order to assure the Designated Community that the repository will be able to make the information available and usable over the mid-to-long-term. ","Collection of appropriate preservation metadata; proof of usability of randomly selected digital objects held within the system; demonstrable track record for retaining usable digital objects over time; Designated Community polls."]
["4.4 AIP PRESERVATION"]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.4.1 ","THE REPOSITORY SHALL HAVE SPECIFICATIONS FOR HOW THE AIPS ARE STORED DOWN TO THE\nBIT LEVEL.","This is necessary in order to ensure that the information can be extracted from the AIP over the long-term.","Documentation of the format of AIPs; EAST and Data Entity Dictionary Specification\nLanguage (DEDSL) descriptions of the data components."]
[null,"4.4.1.1 ","The repository shall preserve the Content Information of AIP’s.","This is necessary because it is the fundamental mission of a repository to preserve the Content Information for its Designated Communities.","Preservation workflow procedure documentation; workflow procedure documentation; Preservation Policy documents specifying treatment of AIPs and under what circumstances they may ever be deleted; ability to demonstrate the sequence of conversions for an AIP for any particular digital object or group of objects ingested; documentation linking ingested objects and the current AIPs."]
[null,"4.4.1.2"," The repository shall actively monitor the integrity of AIPs.","This is necessary in order to protect the integrity of the archival objects over time.","Fixity information (e.g., checksums) for each ingested digital object/AIP; logs of fixity checks; documentation of how AIPs and Fixity information are kept separate; documentation of how AIPs and accession registers are kept separate."]
[null,"4.4.2 ","THE REPOSITORY SHALL HAVE CONTEMPORANEOUS RECORDS OF ACTIONS AND ADMINISTRATION PROCESSES THAT ARE RELEVANT TO STORAGE AND PRESERVATION OF THE AIPS.","This is necessary in order to ensure documentation is not omitted or erroneous or of questionable authenticity.","Written documentation of decisions and/or action taken; preservation metadata logged, stored, and linked to pertinent digital objects."]
[null,"4.4.2.1 ","The repository shall have procedures for all actions taken on AIPs.","This is necessary in order to ensure that any actions performed against an AIP do not alter the AIP information in a manner unacceptable to its Designated Communities.","Written documentation describing all actions that can be performed against an AIP."]
[null,"4.4.2.2 ","The repository shall be able to demonstrate that any actions taken on AIPs were compliant with the specification of those actions","This is necessary in order to ensure that any actions performed against an AIP do not alter the AIP information in a manner unacceptable to its Designated Communities.","Preservation metadata logged, stored, and linked to pertinent digital objects and documentation of that action; procedural audits of the repository showing that all actions conform to the documented processes."]
["4.5 INFORMATION MANAGEMENT "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.5.1 ","THE REPOSITORY SHALL SPECIFY MINIMUM INFORMATION REQUIREMENTS TO ENABLE THE DESIGNATED COMMUNITY TO DISCOVER AND IDENTIFY MATERIAL OF INTEREST. ","This is necessary in order to enable discovery of the repository's holdings. ","Retrieval and descriptive information, discovery metadata, such as Dublin Core, and other documentation describing the object."]
[null,"4.5.2 ","THE REPOSITORY SHALL CAPTURE OR CREATE MINIMUM DESCRIPTIVE INFORMATION AND ENSURE THAT IT IS ASSOCIATED WITH THE AIP. ","This is required in order to ensure that Descriptive Information is associated with the AIP. ","Descriptive metadata; internal or external persistent, unique identifier or locator that is associated with the AIP (see also 4.2.4 about persistent, unique identifier); system documentation and technical architecture; depositor agreements; metadata policy documentation, incorporating details of metadata requirements and a statement describing where responsibility for its procurement falls; process workflow documentation."]
[null,"4.5.3 ","THE REPOSITORY SHALL MAINTAIN BI-DIRECTIONAL LINKAGE BETWEEN EACH AIP AND ITS DESCRIPTIVE INFORMATION. ","This is necessary to ensure that all AIPs can be located and retrieved. ","Descriptive metadata; unique, persistent identifier or locator associated with the AIP; documented relationship between the AIP and its metadata; system documentation and technical architecture; process workflow documentation."]
[null,"4.5.3.1","The repository shall maintain the associations between its AIPs and their descriptive information over time. ","This is necessary to ensure that all AIPs can continue to be located and retrieved.","Log detailing ongoing maintenance or checking of the integrity of the data and its relationships to the associated descriptive information, especially following repair or modification of the AIP; legacy descriptive information; persistence of identifier or locator; documented relationship between AIP and its descriptive information; system documentation and technical architecture; process workflow documentation."]
["4.6 ACCESS MANAGEMENT ",null,null,"The term “access” has a number of different senses, including access by users to the repository system—for example, physical security and user authentication), and the different stages of accessing records (making a request, verifying the rights of the requester, and preparing and sending a Dissemination Information Package (DIP). This section is concerned with all of these. It is divided into two main requirements: one concerned with the existence and implementation of access policies, and one with the capacity of the repository to provide demonstrably authentic objects as DIPs. Thus the first requirement relates to requests initiated by a user and how the repository handles them to ensure that rights and agreements are respected, that security is monitored, that requests are fulfilled, etc. The second requirement relates to what is delivered to the Consumer and the trust that can be placed in it. It must be understood that the capabilities and sophistication of the access system will vary depending on the repository’s Designated Community and the access mandates of the repository. Because of the variety of repositories and access mandates, these criteria may be subject to questions about applicability and interpretation at a local level. "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"4.6.1","THE REPOSITORY SHALL COMPLY WITH ACCESS POLICIES. ","This is necessary in order to ensure the repository has fully addressed all aspects of usage which might affect the trustworthiness of the repository, particularly with reference to support of the user community. ","Statements of policies that are available to the user communities; information about user capabilities (authentication matrices); logs and audit trails of access requests; explicit tests of some types of access."]
[null,"4.6.1.1 ","The repository shall log and review all access management failures and anomalies. ","This is necessary in order to identify security threats and access management system failures. ","Access logs, capability of the system to use automated analysis/monitoring tools and generate problem/error messages; notes of reviews undertaken or action taken as a result of reviews."]
[null,"4.6.2","THE REPOSITORY SHALL FOLLOW POLICIES AND PROCEDURES THAT ENABLE THE DISSEMINATION OF DIGITAL OBJECTS THAT ARE TRACEABLE TO THE ORIGINALS, WITH EVIDENCE SUPPORTING THEIR AUTHENTICITY. ","This is necessary to establish an auditable chain of authenticity from the AIP to disseminated digital objects. ","System design documents; work instructions (if DIPs involve manual processing); process walkthroughs; production of a sample copy with evidence of authenticity; documentation of community requirements for evidence of authenticity."]
[null,"4.6.2.1 ","The repository shall record and act upon problem reports about errors in data or responses from users. ","This is necessary in order for the users to consider the repository to be a trustworthy source of information. ","System design documents; work instructions (if DIPs involve manual processing); process walkthroughs; logs of orders and DIP production; documentation of error reports and the actions taken."]

{"sheet":"5 Infrastr and Sec Risk Mgt","index":4,"n_rows":29,"n_cols":7,"rows_kept":29,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["5 INFRASTRUCTURE AND SECURITY RISK MANAGEMENT"]
["5.1 TECHNICAL INFRASTRUCTURE RISK MANAGEMENT "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"5.1.1 ","THE REPOSITORY SHALL IDENTIFY AND MANAGE THE RISKS TO ITS PRESERVATION OPERATIONS AND GOALS ASSOCIATED WITH SYSTEM INFRASTRUCTURE. ","This is necessary to ensure a secure and trustworthy infrastructure.","Infrastructure inventory of system components; periodic technology assessments; estimates of system component lifetime; export of authentic records to an independent system; use of strongly community supported software .e.g., Apache, iRODS, Fedora); re-creation of archives from backups. "]
[null,"5.1.1.1 ","The repository shall employ technology watches or other technology monitoring notification systems. ","This is necessary to track when hardware or software components will become obsolete and migration is needed to new infrastructure.","Management of periodic technology assessment reports. Comparison of existing technology to each new assessment. "]
[null,"5.1.1.1.1","The repository shall have hardware technologies appropriate to the services it provides to its designated communities. ","This is necessary to provide expected, contracted, secure, and persistent levels of service including: ease of ingest and dissemination through appropriate depositor and user interfaces and technologies such as upload mechanisms; on-going digital object management; preservation approaches and solutions, such as migration; and system security.","Maintenance of up-to-date Designated Community technology, expectations, and use profiles; provision of bandwidth adequate to support ingest and use demands; systematic elicitation of feedback regarding hardware and service adequacy; maintenance of a current hardware inventory."]
[null,"5.1.1.1.2","The repository shall have procedures in place to monitor and receive notifications when hardware technology changes are needed. ","This is necessary to ensure expected, contracted, secure, and persistent levels of service.","Audits of capacity versus actual usage; audits of observed error rates; audits of performance bottlenecks that limit ability to meet user community access requirements; documentation of technology watch assessments; documentation of technology updates from vendors. "]
[null,"5.1.1.1.3 ","The repository shall have procedures in place to evaluate when changes are needed to current hardware. ","This is necessary to ensure that the repository has the capacity to make informed and timely decisions when information indicates the need for new hardware.","Evaluation procedures in place; documented staff expertise in each technology sub-system. "]
[null,"5.1.1.1.4 ","The repository shall have procedures, commitment and funding to replace hardware when evaluation indicates the need to do so. ","This is necessary to ensure hardware replacement in a timely fashion so as to avert system failure or performance inadequacy. Without such a commitment, and more importantly, without escrowed financial resources or a secure funding stream, technology watches and notifications are of little value. The repository must have mechanisms for evaluating the efficacy of the new systems before implementation in the production system. ","Statement of commitment to provide expected and contracted levels of service; evidence of ongoing financial assets set aside for hardware procurement; demonstration of cost savings through amortized cost of new system. "]
[null,"5.1.1.1.5 ","The repository shall have software technologies appropriate to the services it provides to its designated communities. ","This is necessary to provide expected, contracted, secure, and persistent levels of service including: ease of ingest and dissemination through appropriate depositor and user interfaces and technologies such as upload mechanisms; on-going digital object management; preservation approaches and solutions, such as migration; and system security. ","Maintenance of up-to-date designated community technology, expectations, and use profiles; Provision of software systems adequate to support ingest and use demands; systematic elicitation of feedback regarding software and service adequacy; maintenance of a current software inventory. "]
[null,"5.1.1.1.6","The repository shall have procedures in place to monitor and receive notifications when software changes are needed. ","This is necessary to ensure expected, contracted, secure, and persistent levels of service. ","Audits of capacity versus actual usage; audits of observed error rates; audits of performance bottlenecks that limit ability to meet user community access requirements; documentation of technology watch assessments; documentation of software updates from vendors. "]
[null,"5.1.1.1.7","The repository shall have procedures in place to evaluate when changes are needed to current software. ","This is necessary to ensure that the repository has the capacity to make informed and timely decisions when information indicates the need for new software. ","Evaluation procedures in place; documented staff expertise in each software technology\nsubsystem. "]
[null,"5.1.1.1.8","The repository shall have procedures, commitment and funding to replace software when evaluation indicates the need to do so. ","This is necessary to ensure software replacement in a timely fashion so as to avert system failure or performance inadequacy. Without such a commitment, and more importantly, without escrowed financial resources or a secure funding stream, technology watches and notifications are of little value. The repository must have mechanisms for evaluating the efficacy of the new systems before implementation in the production system.","Statement of commitment to provide expected and contracted levels of service; evidence of ongoing financial assets set aside for software procurement; demonstration of cost savings through amortized cost of new system. "]
[null,"5.1.1.2","The repository shall have adequate hardware and software support for backup functionality sufficient for preserving the repository content and tracking repository functions. ","This is necessary in order to ensure continued access to and tracking of preservation functions applied to the digital objects in their custody.","Documentation of what is being backed up and how often; audit log/inventory of backups; validation of completed backups; disaster recovery plan, policy and documentation; fire drills; testing of backups; support contracts for hardware and software for backup mechanisms; demonstrated preservation of system metadata such as access controls, location of replicas, audit trails, checksum values. "]
[null,"5.1.1.3","The repository shall have effective mechanisms to detect bit corruption or loss. ","This is necessary in order to ensure that AIPs and metadata are uncorrupted or any data losses are detected and fall within the tolerances levels established by repository policy (see 3.3.5).","Documents that specify bit error detection and correction mechanisms used; risk analysis; error reports; threat analysis; periodic analysis of the integrity of repository holdings. "]
[null,"5.1.1.3.1","The repository shall record and report to its administration all incidents of data corruption or loss, and steps shall be taken to repair/replace corrupt or lost data. ","This is necessary in order to ensure the repository administration is being kept informed of incidents and recovery actions, and to enable identification of sources of data corruption or loss.","Procedures related to reporting incidents to administrators; Preservation metadata (e.g., PDI) records; comparison of error logs to reports to administration; escalation procedures related to data loss; tracking of sources of incidents; remediation actions taken to remove sources of incidents. "]
[null,"5.1.1.4","The repository shall have a process to record and react to the availability of new security updates based on a risk-benefit assessment. ","This is necessary in order to protect the integrity of the archival objects from unauthorized changes or deletions.","Risk register (list of all patches available and risk documentation analysis); evidence of update processes (e.g., server update manager daemon); documentation related to the update installations. "]
[null,"5.1.1.5","The repository shall have defined processes for storage media and/or hardware change (e.g., refreshing, migration). ","This is necessary in order to ensure that data is not lost when either the media fail or the supporting hardware can no longer be used to access the data.","Documentation of migration processes; policies related to hardware support, maintenance, and replacement; documentation of hardware manufacturer's expected support life cycles; policies related to migration of records to alternate hardware systems. "]
[null,"5.1.1.6 ","The repository shall have identified and documented critical processes that affect its ability to comply with its mandatory responsibilities. ","This is necessary in order to ensure that the critical processes can be monitored to ensure that they continue to meet the mandatory responsibilities and to ensure that any changes to those processes are examined and tested.","Traceability matrix between processes and mandatory requirements. "]
[null,"5.1.1.6.1","The repository shall have a documented change management process that identifies changes to critical processes that potentially affect the repository's ability to comply with its mandatory responsibilities. ","This is necessary in order to ensure that the repository can specify not only the current processes, but the prior processes that were applied to the repository holdings.","Documentation of change management process; assessment of risk associated with a process change; analysis of the expected impact of a process change; comparison of logs of actual changes to processes versus associated analyses of their impact and criticality. "]
[null,"5.1.1.6.2","The repository shall have a process for testing and evaluating the effect of changes to the repository's critical processes. ","This is necessary in order to protect the integrity of the repository's critical processes such that they continue in their ability to meet the repository's mandatory requirements.","Documented testing procedures; documentation of results from prior tests and proof of changes made as a result of tests; analysis of the impact of a process change. "]
[null,"5.1.2","THE REPOSITORY SHALL MANAGE THE NUMBER AND LOCATION OF COPIES OF ALL DIGITAL OBJECTS. ","This is necessary in order to assert that the repository is providing an authentic copy of a particular digital object.","Random retrieval tests; validation of object existence for each registered location; validation of a  registered location for each object on storage systems; provenance and fixity checking information; location register/log of digital objects compared to the expected number and location of copies of particular objects. "]
[null,"5.1.2.1","The repository shall have mechanisms in place to ensure any/multiple copies of digital objects are synchronized. ","This is necessary in order to ensure that multiple copies of a digital object remain identical, within a time established as acceptable by the repository, and that a copy can be used to replace a corrupted copy of the object.","Synchronization workflows; system analysis of how long it takes for copies to synchronize; procedures/documentation of synchronization processes. "]
["5.2 SECURITY RISK MANAGEMENT "]
[null,null,"Metric","Supporting Text","Examples of Documents the Repository can use to demonstrate it is Meeting this Requirement: ","Brief description of evidence (add rows if necessary to list all relevant documents for a metric) Use short titles for documents. Provide detailed description of each document on the Reference tab.","Explanation of how the repository addresses this metric"]
[null,"5.2.1 ","THE REPOSITORY SHALL MAINTAIN A SYSTEMATIC ANALYSIS OF SECURITY RISK FACTORS ASSOCIATED WITH DATA, SYSTEMS, PERSONNEL, AND PHYSICAL PLANT.","This is necessary to ensure ongoing and uninterrupted service to the designated community.","Repository employs the codes of practice found in the ISO 27000 series of standards system control list; risk, threat, or control analysis."]
[null,"5.2.2 ","THE REPOSITORY SHALL HAVE IMPLEMENTED CONTROLS TO ADEQUATELY ADDRESS EACH OF THE DEFINED SECURITY RISKS.","This is necessary in order to ensure that controls are in place to meet the security needs of the repository.","Repository employs the codes of practice found in the ISO 27000 series of standards; system control list; risk, threat, or control analyses; and addition of controls based on ongoing risk detection and assessment. Repository maintains ISO 17799 certification."]
[null,"5.2.3 ","THE REPOSITORY STAFF SHALL HAVE DELINEATED ROLES, RESPONSIBILITIES, AND AUTHORIZATIONS RELATED TO IMPLEMENTING CHANGES WITHIN THE SYSTEM.","This is necessary in order to ensure that individuals have the authority to implement changes, that adequate resources have been assigned for the effort, and that the responsible individuals will be accountable for implementing such changes.","Repository employs the codes of practice found in the ISO 27000 series of standards; organizational chart; system authorization documentation. Repository maintains ISO 17799 certification."]
[null,"5.2.4 ","THE REPOSITORY SHALL HAVE SUITABLE WRITTEN DISASTER PREPAREDNESS AND RECOVERY PLAN(S), INCLUDING AT LEAST ONE OFF-SITE BACKUP OF ALL PRESERVED INFORMATION TOGETHER WITH AN OFFSITE COPY OF THE RECOVERY PLAN(S).","This is necessary in order to ensure that sufficient backup and recovery capabilities are in place to facilitate continuing preservation of and access to systems and their content with limited disruption of services.","Repository employs the codes of practice found in the ISO 27000 series of standards; disaster and recovery plans; information about and proof of at least one off-site copy of preserved information; service continuity plan; documentation linking roles with activities; local geological, geographical, or meteorological data or threat assessments. Repository maintains ISO 17799 certification."]

{"sheet":"Reference","index":5,"n_rows":2,"n_cols":8,"rows_kept":2,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["ID","Title","Only Paper (Y/N)","URL (provide if available)","Electronic document not on Web(Y/N)","Num pages if applicable","Size in KB (if electronic)","comment"]
["REF001","Strategic Plan 2009","N","www.ourwebsite.org","Y",14,3285,"Delete this row - this is just an example!"]