Documents Needed from Scholars Portal

Please refer to section C.8.a for a documentation flowchart that outlines the relationship between the various documents required from Scholars Portal.

ONGOING Indicates documents that already exist, but may need to be updated or revised to satisfy all requirements.

NEEDED Indicates documents that do not currently exist and need to be created.

EXISTS Indicates documents exist and ready to be used in Application

Requirements List:

#Requirement NameRequirement DescriptionTypes of Documents used in Successful ApplicationsDocuments Needed from Scholars PortalDocuments Needed from Member Institution



(not necessarily from certified repositories)

R0.Background Information & Context

R0.a. Repository Type

R0.b. Brief Description of Repository

R0.c. Brief Description of Designated Community

R0.d. Level of Curation Performed

R0.e. Insource/Outsource Partners

R0.f. Summary of Significant Changes Since Last Application

R0.g. Other Relevant Information

R0.e. Service Level Agreements or Contracts with Insource & Outsource Partners1. URLs to partner website (i.e., iQSS).

R0.g. URLs to listing, metrics websites, main repository websites, governance body websites, etc. 


The website should include:

  • Description of what SP DV is, its overall objectives or purpose, and mission statement.
  • Description of tasks that are the responsibility of SP versus those that are the responsibility of MIs.
  • Description of SP DV's designated community.
  • Information about SP DV's governance structure.
  • Information on how to get help, where to find more information, and/or how to contact support.
  • Link to SP DV metrics page.

R0.a. - Institutional repository, Library, possibly Research project repository.

R0.b. - Entered into the application directly, or reference a website with this info.

R0.c. - Entered into the application directly, or reference a website with this info.

R0.d. Level of Curation Performed - for only SP DV, this could be rated as a level C. MIs may upgrade this level to D if they perform additional curation.

R0.e. - Insource/Outsource Partners

  • URL for About Scholars Portal Dataverse website.
  • Links to any internal partners that assist with the management of SP DV at this institution (if applicable).
  • Could also include the SP/MI SLA template.

R0.f. - not applicable.

R0.g. - Enter whatever other info might be helpful.

Examples of repositories with good About Us-type pages that cover the majority of the info needed for R0.

DataverseNO About Us page.

Odum Institute Data Archive main page.

ICPSR About Us page.

Qualitative Data Repository (QDR) About page.

Polar Data Catalogue main page.

Organizational Infrastructure
R1.Mission / ScopeThe repository has an explicit mission to provide access to and preserve data in its domain.
  • Mission statement with mention of "data preservation"
  • The approval process of the mission statement


  • The mission statement for digital repositories, library, or overall university.
  • Could also reference a specific policy or strategic plan where the mission statement is written.
  • Needs to specifically mention data preservation in some way.

Not all these examples include mention of preservation but are examples of mission statements in general.

OCUL's Mission & Vision

Thomas Fisher Rare Book Library Mandate

UTL Mission Statement & Values

UTL Digital Preservation Policy

Odum About the Archive

Queen's University Library Vision & Mission

R2.LicensesThe repository maintains all applicable licenses covering data access and use and monitors compliance.
  • Licensing agreements
  • Conditions of use
  • Non-compliance measures
  • Standard terms of use


Information pertaining to any license-related rules or policies that are in addition to what is provided by SP.

  • Institutional deposit guidelines or policy.
  • Institutional terms of use.

Tilburg University, which is one member of the DataverseNL repository, is the best example as they have their own, institutional-level policies/procedures.

Instructions for depositing data in TiU Dataverse.pdf (Appendix B, #14)

Template Data Report.pdf (Rights and restrictions section)

These policies are in addition to the main DataverseNL General Terms of Use (from DataverseNL).pdf.

R3.Continuity of AccessThe repository has a continuity plan to ensure ongoing access to and preservation of its holdings.
  • Governance documents
  • Succession plans (3-5 years and 5+ years)
  • Guaranteed preservation periods 
  • The risk associated with host organization for long-term availability


This requirement is mainly the responsibility of SP. However, institutions could also provide information about their own governance structure and any succession plans they have should they no longer be able to offer support for SP DV to their researchers.

Copy of institution's Access and Service Agreement with Scholars Portal

Other types of collaboration agreements, if they exist.

Odum Data-PASS Collaboration Agreement.pdf


Confidentiality / EthicsThe repository ensures, to the extent possible, that data is created, curated, accessed, and used in compliance with disciplinary and ethical norms.
  • Policies re: types of data allowed and not allowed
  • Procedures to remove inappropriate data.


Information pertaining to any data review that takes place at the institutional level and is in addition to what is outlined in the SP DV document.

  • Curation procedures or policies (for the review and/or removal of confidential data).
  • Sensitive data procedures or policies.

It can also include any institutional data privacy, IT, or ethics board policies.

The following examples include instructions and policies related to confidential data:

Tilburg's Research Data Management Regulation.pdf

Odum SOP Sensitive Data Handling.docx or Odum SOP Data Deposit.docx

DataverseNO Deposit Agreement.pdf

From another perspective, the following agreement relates to how the repository collects personal info and what they do with it:

DANS Privacy Statement.pdf

The following examples are institutional-level policies regarding data and confidentiality:

UOttawa Managing Participant Data

UT Policy on Information Security and the Protection of Digital Assets

UT Data Classification and FAQs

UT Minimum Data Center Perimeter Controls

UT Data Security Standards for Personally Identifiable and Other Confidential Data in Research

UT Policy on Ethical Conduct in Research

R5.Organizational InfrastructureThe repository has adequate funding and sufficient numbers of qualified staff managed through a clear system of governance to effectively carry out the mission.
  • Governance/management decision-making process
  • Hosted institution relevant to Designated Community
  • Funding for 3-5 years
  • Ongoing staff training and professional development
  • Permanent vs. temporary staff (FTE)
  • Staff expertise (minimum qualifications)


  • Org Chart with FTE #s, job descriptions, and qualifications for SP DV institutional support staff.
  • Professional development provided to support staff.
  • Funding agreements/sources for support staff (for project-based funding).
  • An explanation of how universities (and their libraries) are funded in Ontario to demonstrate ongoing and adequate funding.

For info regarding staff and prof. development, most of it can be entered directly into the application without direct links to other documents.

Example org charts:

DANS Organizational Chart

Odum Org Chart.pdf

IRIS Org Chart.png

Governance information and funding details for institutions is more relevant if you're offering DV as part of a funded project, as opposed to regular operating funds. For operating funds, a high-level explanation of how the university/library is funded is all that is needed.

R6.Expert GuidanceThe repository adopts mechanism(s) to secure ongoing expert guidance and feedback (either in-house or external, including scientific guidance, if relevant).
  • Memberships in working or expert groups, consortiums, etc.
  • Access to subject-level expertise.


  • Information about participation in expert or working groups by institutional support staff.
  • Information about accessing/obtaining disciplinary-specific expertise, if applicable.
  • Curation guidelines or procedures as it pertains to expert advice.

Scholars Portal Dataverse Community 

Portage Expert Groups

Dataverse Users Community 

OCUL Communities

For discipline-specific expertise, reference to Liaison Librarians, departmental data stewards, dept. of VP research (if any are relevant) could be included.

Digital Object Management
R7.Data Integrity and AuthenticityThe repository guarantees the integrity and authenticity of the data.
  • Fixity checks/checksums
  • Changelogs / audit trails
  • Dataset version control
  • Metadata standards/conventions
  • Verifying depositor (user) identity


  • Borealis Admin Guide (curation functions such as fixity checks, checksums, version control, metadata defaults, access control, etc.) ONGOING
  • Borealis User Guide - metadata defaults
  • Dataverse North Metadata Guidelines EXISTS
  • If access is not via Shibboleth, information on how depositor access is controlled/processed for institutional users.
  • Information pertaining to any procedures or policies in addition to the SP DV minimums or defaults.

Policies or procedures related to institutional metadata minimums, audit trails, version control, and depositor identity.

DANS Provenance Document.pdf

DataverseNO Deposit Agreement.pdf

DataverseNO Deposit your data.pdf

DataverseNO Curator Guide.pdf

Odum Data Curation Workflow.pdf

R8.AppraisalThe repository accepts data and metadata based on defined criteria to ensure relevance and understandability for data users.
  • Deposit selection criteria and policies.
  • Deletion/deaccessioning policies.
  • Required metadata fields.


  • Institutional-level collection policies or criteria.
  • Institutional-level accession and deaccession policies or criteria.
  • Information about the curation process followed, if applicable to data selection or additional metadata requirements.

Carleton Dataverse Guide

UBC Dataverse Guide

UGuelph Data Deposit Guide

UVic Deposit Guidelines

UWaterloo Deposit Guidelines

DANS EASY Before Depositing.pdf

DANS EASY During Depositing.pdf

DANS File Formats.pdf

Odum Data Deposit Form.pdf

DataverseNO Accession Policy.pdf

DataverseNO Deaccession Procedure.pdf

R9.Documented Storage ProceduresThe repository applies documented processes and procedures in managing the archival storage of the data.
  • Risk management plans for physical storage locations
  • Management of physical storage locations
  • Multiple copy strategies, including checksums
  • Types of storage media and process for dealing with deterioration


This requirement would be the responsibility of SP only.n/a
R10.Preservation PlanThe repository assumes responsibility for long-term preservation and manages this function in a planned and documented way.
  • Organized approach to long-term preservation
  • Continued access to data
  • Support for the Designated Community


  • Borealis Preservation Plan EXISTS
  • Borealis Terms of Use EXISTS as it pertains to permissions given to Borealis to provide continued access to data.

Alternative institutional-level preservation procedures and associated criteria, if applicable.

If you provide another type of preservation option for your institutional Dataverse (e.g., Archivematica), include policies or procedures for that option.

Scholars Portal Permafrost service

COPPUL WestVault service

COPPUL Archivematica-as-a-Service

R11.Data QualityThe repository has the appropriate expertise to address technical data and metadata quality and ensures that sufficient information is available for end-users to make quality-related evaluations.
  • Curation policy or plan
  • Data quality control standards
  • Designated Community feedback on data/metadata quality


  • SP DV Admin Guide (curation functions) ONGOING
  • Borealis Terms of Use EXISTS

Institutional-level curation procedures, if more than default SP DV functions are used.

DANS Provenance Document.pdf

DANS File Formats.pdf

DataverseNO Accession Policy.pdf (Quality Control section)

DataverseNO Curator Guide.pdf

Prepare your data for DataverseNO.pdf

Odum Data Curation Workflow.pdf

Odum SOP Data Deposit.docx

Odum SOP Cataloging.docx

FSSDA Appendix 6. Digital File Formats.pdf

FSD Operational Guidelines.pdf

The IRIS repository is different from the above repositories as it collects data from the same sources on a regular basis. Therefore, they approach data quality a little differently.

IRIS Data Quality Mission Statement.pdf

IRIS IS_Quality_Principles_v6.pdf

R12.WorkflowsArchiving takes place according to defined workflows from ingest to dissemination.
  • Consistent documented approach to all processes and procedures
  • Reference to the Borealis website where all guidelines and procedures are outlined.
  • Information pertaining to the creation and revision of guidelines and procedures, including who reviews and provides feedback before implementation. 

Member institutions would need to provide similar info as SP, but for their institutional-level workflows.

In general, any of the other documentation noted in this column could be used for R12. The purpose of this requirement is to demonstrate consistent documentation procedures.

Other items that could be referenced here:

  • procedures for creating and/or approving documentation
  • an overall policy or procedure for the entire process (from ingest to dissemination)
  • a website with an overview of the entire process

Odum OAIS.pdf

R13.Data Discovery and IdentificationThe repository enables users to discover the data and refer to them in a persistent way through proper citation.
  • Search abilities/functionality
  • Standard metadata catalogues
  • Persistent identifiers
  • Machine harvesting of metadata
  • Recommended data citations


This requirement would be restricted to SP only.n/a
R14.Data ReuseThe repository enables the reuse of the data over time, ensuring the appropriate metadata are available to support the understanding and use of the data.
  • Data access records/metadata
  • Continued understandability of the data
  • Data formats provided
  • Process for evolving data formats
  • Metadata schemas used


  • Information pertaining to any deposit or curation activities performed in addition to the defaults provided by SP DV.
  • Information on how (and if) feedback is taken from the designated community in order to update or revise minimum requirements or standards.

The following are some examples of the documentation used for R14 in other applications. Any document that outlines how the repository enables the reuse of data would be beneficial here.

DANS EASY Reusing Data.pdf

Template Data Report.pdf

DANS File Formats.pdf

DataverseNO Preservation Policy.pdf

DataverseNO Preservation Plan.pdf

DataverseNO Access and Use Policy.pdf

Odum Metadata Guidelines.pdf

Odum Preservation Policy.pdf

R15.Technical InfrastructureThe repository functions on well-supported operating systems and other core infrastructural software and is using hardware and software technologies appropriate to the services it provided to its Designated Community.
  • Specific to the technical/physical infrastructure
  • Short-term disaster recovery or business continuity plans
  • Understanding of standards, tools, and technologies available for RDM/curation
  • Infrastructure development plans
  • Software inventory
  • Availability, bandwidth, and connectivity


This requirement would be restricted to SP only.n/a
R16.SecurityThe technical infrastructure of the repository provides for the protection of the facility and its data, products, services, and users.
  • Mechanisms that prevent, detect, and respond to security incidents
  • IT security system
  • Authentication and authorization procedures
  • Infrastructure control
  • Organizational security policies


This requirement would be restricted to SP only.n/a


1 SLAs, MOUs, and contracts can be submitted to CTS confidentially.

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