text
stringlengths
195
512
be compared with tests on the SIP. Such tests might be simple (counting the number of records in a file, or performing some simple statistical measure), but they might be complex. Documentation should describe how the completeness and correctness of AIPs is ensured, starting with receipt from the producer and conti...
nd preservation, logs that such checks have been made, and any special tests that may be required for a particular AIP instance or class. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-15 September 2011 4.2.9 The repository shall provide an independent mechanism for verifying t...
Demonstrate It Is Meeting This Requirement 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. Discussion It is the respons...
previous criteria will satisfy this one without needing to demonstrate anything more. As a separate requirement, it demonstrates the importance of being able to audit the integrity of the collection as a whole. For example, if a repository claims to have all e-mail sent or received by The Yoyodyne Corporation betwee...
SIP of e-mail has been correctly preserved, including original unique identifiers such as Message-IDs. However, it may still have no way of showing whether this really represents all of Yoyodyne’s email. For example, if there is a three-day period with no messages in the repository, is this because Yoyodyne was sh...
ther cases may not be so straightforward. A familiar mechanism from the world of traditional materials in libraries and archives is an accessions or acquisitions register that is independent of other catalog metadata. A repository should be able to show, for each item in its accessions register, which AIP(s) contain...
onversely, any AIP should be able to be related to an entry in the acquisitions register. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-16 September 2011 4.2.10 The repository shall have contemporaneous records of actions and administration processes that are relevant to AIP c...
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. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Written documentation of decisions and/or action take...
and are related to actions associated with AIP creation. The records may be automated or may be written by individuals, depending on the nature of the actions described. Where community or international standards are used, the repository must demonstrate that all relevant actions are carried through. 4.3 PRESERVA...
lans 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. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Documentation identifying each preservation risk identified and ...
rategic plan. These preservation strategies and the preservation strategic plan will typically address the degradation of storage media, the obsolescence of media drives, and the obsolescence or inadequacy of Representation Information (including formats) as the knowledge base of the Designated Community changes, a...
gration is the chosen approach to some of these issues, there also needs to be Preservation Policies on what triggers a migration and what types of migration are expected to solve the preservation risk identified. The preservation strategy will describe the range of activities that need to be done in case of a migra...
reby ensure that the preserved information remains understandable and usable by the Designated Community. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Surveys of the Designated Community of the repository. Discussion The repository should show that it has some active mechanism to ...
formation (including formats) approaches obsolescence or is no longer viable. For most repositories, the concern will be with the Representation Information used to preserve information, which may include information on how to deal with a file format or software that can be used to render or process it. Sometimes t...
If the mechanism depends on an external registry, the repository must demonstrate how it uses the information from that registry. 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 h...
Can Demonstrate It Is Meeting This Requirement 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. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSIT...
in terms of the knowledge base of the Designated Community. 4.3.3 The repository shall have mechanisms to change its preservation plans as a result of its monitoring activities. Supporting Text This is necessary in order for the repository to be prepared for changes in the external environment that may make its ...
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 pl...
repository to change how it deals with the material it holds in ways that could not have been anticipated at an earlier stage. The repository should periodically review its preservation plans and the technology environment and, if necessary, makes changes to those plans to ensure their continued effectiveness. Anot...
chanisms for creating, identifying or gathering any extra Representation Information required. Supporting Text This is necessary in order to ensure that the preserved information remains understandable and usable by the Designated Community. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requir...
Page 4-19 September 2011 Discussion The repository should have mechanisms in place for monitoring and notification when Representation Information (including formats) approaches obsolescence or is no longer viable, and it should be able to show that it has mechanisms to address such notifications. 4.3.4 The rep...
able to make the information available and usable over the mid-to-long-term. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Collection of appropriate preservation metadata; proof of usability of randomly selected digital objects held within the system; demonstrable track record for ...
its holdings. This could be evaluated at a number of degrees and depends on the specificity of the Designated Community. If a Designated Community is fairly broad, an auditor could represent the test subject in the evaluation. More specific Designated Communities could require significant efforts. 4.4 AIP PRESERVA...
acted from the AIP over the long-term. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Documentation of the format of AIPs; EAST and Data Entity Dictionary Specification Language (DEDSL) descriptions of the data components (see references [B6] and [B7]). AUDIT AND CERTIFICATION OF TR...
t and must specify how the separate components are packaged together. The Representation Information must be available for each AIP and must be appropriately linked to the AIP. Often, repositories are tempted to describe AIP content only down to a level where a program will then be used to convert the information to...
1.1 The repository shall preserve the Content Information of AIPs. Supporting Text This is necessary because it is the fundamental mission of a repository to preserve the Content Information for its Designated Communities. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Preservation ...
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. Discussion The repository should be able to demonstrate that the AIPs faithfully reflect the information that was captured during ingest...
mes that the repository has a policy specifying that AIPs cannot be deleted at any time. This particularly simple and robust implementation preserves links between what was originally ingested, as well as new versions that have been transformed or changed in any way. Depending upon implementation, these newer object...
ly monitor the integrity of AIPs. Supporting Text This is necessary in order to protect the integrity of the archival objects over time. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-21 September 2011 Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirem...
w AIPs and accession registers are kept separate. Discussion A repository should have logs that show actions taken to check the integrity of archival objects in order to assure funders, producers, and users—and to allow them to audit/validate—that the repository is taking the necessary steps to ensure the long-term...
that corrective action can be taken as soon as possible. The repository should allow interested parties to verify that this is the case. At present, most repositories deal with this at the level of individual information objects by using a checksum of some form, such as MD5. In this case, the repository should be ...
, so that accidental alteration of the AIP would not also damage the Fixity Information. Also, someone who can maliciously alter an AIP would not likely be able as easily to alter the Fixity Information as well. 4.4.2 The repository shall have contemporaneous records of actions and administration processes that are...
of Ways the Repository Can Demonstrate It Is Meeting This Requirement Written documentation of decisions and/or action taken; preservation metadata logged, stored, and linked to pertinent digital objects. Discussion The records may be automated or may be written by individuals, depending on the nature of the actio...
HY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-22 September 2011 4.4.2.1 The repository shall have procedures for all actions taken on AIPs. Supporting Text 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 C...
s documentation is normally created during design of the repository. It should detail the normal handling of AIPs, all actions that can be performed against the AIPs, including success and failure conditions and details of how these processes can be monitored. 4.4.2.2 The repository shall be able to demonstrate that...
r the AIP information in a manner unacceptable to its Designated Communities. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Preservation metadata logged, stored, and linked to pertinent digital objects and documentation of that action; procedural audits of the repository showing tha...
complete any actions that affect the repository data. The more often ‘special handling’ of repository data occurs and the more often this ‘special handling’ is not overseen in a consistent manner, the more likely that the data held by the repository will be compromised. When procedures are regularly followed, any ...
ikely change could be identified in the future. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-23 September 2011 4.5 INFORMATION MANAGEMENT 4.5.1 The repository shall specify minimum information requirements to enable the Designated Community to discover and identify material...
trieval and descriptive information, discovery metadata, such as Dublin Core, and other documentation describing the object. Discussion The repository should be able to deal with the types of requests that will come from a typical user from the Designated Community. A repository does not necessarily have to satisfy...
ormation and ensure that it is associated with the AIP. Supporting Text This is required in order to ensure that descriptive information is associated with the AIP. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Descriptive metadata; internal or external persistent, unique identifie...
umentation, incorporating details of metadata requirements and a statement describing where responsibility for its procurement falls; process workflow documentation. Discussion The repository should show that it associates with each AIP, minimum descriptive information that was either received from the producer or ...
h the AIP. Hierarchical schemes of description can allow some descriptive elements to be associated with many items. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-24 September 2011 4.5.3 The repository shall maintain bi-directional linkage between each AIP and its descriptiv...
ptive 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. Discussion Repositories must implement procedures to establish and maintain relationships to as...
one AIP. 4.5.3.1 The repository shall maintain the associations between its AIPs and their descriptive information over time. Supporting Text This is necessary to ensure that all AIPs can continue to be located and retrieved. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Log det...
egacy descriptive information; persistence of identifier or locator; documented relationship between AIP and its descriptive information; system documentation and technical architecture; process workflow documentation. Discussion Repositories must implement procedures that let them know when the relationship betwee...
cluding 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 AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-25 September 2011...
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,...
d 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. 4.6.1 The repo...
of the repository, particularly with reference to support of the user community. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Statements of policies that are available to the user communities; information about user capabilities (authentication matrices); logs and audit trails of ...
mmunity, and on what conditions; – requirements for authentication and authorization of accessors; – enforcement of agreements applicable to access conditions; – recording of access actions. Access may be managed partly by computers and partly by humans; checking passports, for instance, before issuing a user ID a...
6.1.1 The repository shall log and review all access management failures and anomalies. Supporting Text This is necessary in order to identify security threats and access management system failures. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Access logs, capability of the system...
e automated mechanism to note anomalous or unusual denials and use them to identify either security threats or failures in the access management system, such as valid users’ being denied access. This does not mean looking at every denied access. 4.6.2 The repository shall follow policies and procedures that enable t...
uthenticity from the AIP to disseminated digital objects. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement System design documents; work instructions (if DIPs involve manual processing); process walkthroughs; production of a sample copy with evidence of authenticity; documentation of ...
y of the evidence is of key importance in assessing this requirement. This requirement ensures that ingest, preservation, and transformation actions do not lose information that would support an auditable trail of authenticity between the original deposited object and the eventual disseminated object. A repository...
tworthy and consistent fashion. DIPs may simply be a copy of AIPs, or may AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 4-27 September 2011 result from a simple format transformation of an AIP. But in other cases, they may be derived in complex ways. A user may request a DIP con...
matically generated transcripts of voice recordings. A repository that allows requests for such complex DIPs will need to put more effort into demonstrating how it meets this requirement than a repository that only allows requests for DIPs that correspond to an entire AIP. This requirement is concerned only with th...
roblem reports about errors in data or responses from users. Supporting Text This is necessary in order for the users to consider the repository to be a trustworthy source of information. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement System design documents; work instructions (if ...
t is to ensure that a user receives a usable and correct version of the digital object(s) (i.e., DIP) that he or she requested. A repository should show that any problems that do occur and are brought to its attention are investigated and acted on. Such responsiveness is essential for the repository to be considered...
CTURE RISK MANAGEMENT 5.1.1 The repository shall identify and manage the risks to its preservation operations and goals associated with system infrastructure. Supporting Text This is necessary to ensure a secure and trustworthy infrastructure. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requ...
strongly community supported software e.g., Apache, iRODS, Fedora); re-creation of archives from backups. Discussion The repository should conduct or contract assessments of the risks related to hardware and software infrastructure, and operational procedures. The repository should provide mechanisms that minimize...
long-term preservation. The repository should maintain a system that is scalable (e.g., able to handle anticipated future volumes of both bytes and files) without a major disruption of the system. The repository should maintain a system that is evolvable. That is, the system should be designed in such a way that ma...
d be designed to accommodate future formats (media and files) without major disruption of the system as a whole. The repository should be able to export its holdings to a future custodian. The repository should be able to re-create the archives after an operational error that overwrites or deletes digital holdings. ...
will become obsolete and migration is needed to new infrastructure. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Management of periodic technology assessment reports. Comparison of existing technology to each new assessment. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITOR...
ore interoperability mechanisms are no longer available. This can be driven by proprietary software dependencies (the vendor no longer supports the subsystem component), and by emergence of new protocols (the mechanism for accessing the system has become obsolete and is no longer supported). 5.1.1.1.1 The repositor...
istent 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. Examples of Ways the Repository Can De...
demands; systematic elicitation of feedback regarding hardware and service adequacy; maintenance of a current hardware inventory. Discussion The repository should be aware of the types of storage, file management, preservation and access services expected by its Designated Community, including where applicable, th...
ed communities require a corresponding change in the hardware technology, when changes in ingestion policies require expanded capabilities, and when changes in preservation policies require new preservation capabilities. This can be driven by changes in capacity requirements (the time needed to read all media is lon...
ory shall have procedures in place to monitor and receive notifications when hardware technology changes are needed. Supporting Text This is necessary to ensure expected, contracted, secure, and persistent levels of service. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 5-3 Sep...
lenecks that limit ability to meet user community access requirements; documentation of technology watch assessments; documentation of technology updates from vendors. Discussion The repository should conduct or contract frequent environmental scans regarding hardware status, sources of failure, and interoperabilit...
em integration and performance. The objective is to track when changes in service requirements by the designated communities require a corresponding change in the hardware technology, when changes in ingestion policies require expanded capabilities, and when changes in preservation policies require new preservation...
r displaying authentic records), and changes in the number and size of archived records. 5.1.1.1.3 The repository shall have procedures in place to evaluate when changes are needed to current hardware. Supporting Text This is necessary to ensure that the repository has the capacity to make informed and timely dec...
xpertise in each technology subsystem. Discussion Given information from technology watches or other technology monitoring notification systems, the repository should have procedures and expertise to evaluate this data and make sound decisions regarding the need for new hardware. The objective is to track when tec...
ore capacity limits occur. The evaluation should identify when the risk of using new technology outweighs the expected benefit, and when the new technology is sufficiently mature to minimize risk. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 5-4 September 2011 5.1.1.1.4 The re...
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 ...
tracted levels of service; evidence of ongoing financial assets set aside for hardware procurement; demonstration of cost savings through amortized cost of new system. Discussion The objective is to demonstrate that the repository has the ability to incorporate new technology, both financially through funding comm...
s it provides to its designated communities. Supporting Text 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 ...
o-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. Discussion The objective is to track when change...
when changes in software technology require new format migration capabilities. This can be driven by changes in access requirements (new clients that require new data formats become preferred), by AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 5-5 September 2011 changes in deli...
place to monitor and receive notifications when software changes are needed. Supporting Text This is necessary to ensure expected, contracted, secure, and persistent levels of service. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Audits of capacity versus actual usage; audits of o...
updates from vendors. Discussion The objective is to track when changes in service requirements by the designated communities require a corresponding change in the software technology, when changes in ingestion policies require expanded capabilities, and when changes in preservation policies require new preservat...
ying authentic records), and changes in the number and size of archived records (expanded database requirements). The repository should conduct or contract frequent environmental scans regarding software evolution, likely points of failure, and interoperability among the software and hardware components. The reposit...
The repository shall have procedures in place to evaluate when changes are needed to current software. Supporting Text 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. Examples of Ways the Repository Can De...
OSITORIES CCSDS 652.0-M-1 Page 5-6 September 2011 Discussion Given information from technology watches or other technology monitoring notification systems, the repository should have procedures and expertise to evaluate this data and make sound decisions regarding the need for new software. The objective is to t...
gies, and plan for upgrades before capacity limits occur. The evaluation should identify when the risk of using new technology outweighs the expected benefit, and when the new technology is sufficiently mature to minimize risk. 5.1.1.1.8 The repository shall have procedures, commitment, and funding to replace softw...
. 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. Examples of...
de for software procurement; demonstration of cost savings through amortized cost of new system. Discussion The objective is to demonstrate that the repository has the ability to incorporate new technology, both financially through funding commitments or cost reduction, and operationally through verification of th...
king repository functions. Supporting Text This is necessary in order to ensure continued access to and tracking of preservation functions applied to the digital objects in their custody. AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES CCSDS 652.0-M-1 Page 5-7 September 2011 Examples of Ways the Re...
very 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. Discussion The repository should be able to demonstrate...
long-term preservation. Simple backup mechanisms must preserve not only the repository main content, but also the system metadata generated by the preservation functions. Repositories need to develop backup plans that ensure their continuity of operations across all failure modes. 5.1.1.3 The repository shall have ...
ithin the tolerances established by repository policy (see 3.3.5). Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Documents that specify bit error detection and correction mechanisms used; risk analysis; error reports; threat analysis; periodic analysis of the integrity of repository ...
rable from backups. Routine systematic failures must not be allowed to accumulate and cause data loss beyond the tolerances established by the repository policies. Mechanisms such as checksums (MD5 signatures) or digital signatures should be recognized for their effectiveness in detecting bit loss and incorporated ...
pository 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. Supporting Text This is necessary in order to ensure the repository administration is being kept informed of incidents and recovery actions, and to enable...
tors; 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. Discussion Having effective mechanisms to detect bit corruption and loss wi...
ity, these incidents and the recovery actions and their results must be reported to administrators and made available to all relevant staff. Given identification of the sources of data loss, an assessment of revisions to software and hardware systems, or operational procedures, or management policies is needed to m...
Text This is necessary in order to protect the integrity of the archival objects from unauthorized changes or deletions. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Risk register (list of all patches available and risk documentation analysis); evidence of update processes (e.g., ...
security patches are frequently responsible for upsetting alternative aspects of system functionality or performance. It may not be necessary for a repository to implement all software patches, and the application of any must be carefully considered. Each security update implemented by the repository must be documen...
table. Significant security updates might pertain to software other than core operating systems, such as database applications and Web servers, and these should also be documented. Security updates are not limited to software security updates. Updates to actual hardware or to the hardware system’s firmware are incl...
e change control, they are identified separately here because there are often outside services that compile and circulate information on security issues and updates. At a minimum, repositories should be monitoring these services to ensure that repository-held data is not subject to compromise by identified threats. ...
s not lost when either the media fail or the supporting hardware can no longer be used to access the data. Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement Documentation of migration processes; policies related to hardware support, maintenance, and replacement; documentation of hardwar...
d the quantity of information for each type of storage media. Then with estimates of the reliable lifetime of the storage media and information of system loading, etc., the repository can estimate the time required for storage media migration, or refreshing or copying between media without reformatting the bit stre...