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





Description

Examples 

(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 re3data.org listing, metrics websites, main repository websites, governance body websites, etc. 

WEBSITE:

  • About Scholars Portal Dataverse 
    Status
    colourRedGreen
    titleNEEDEDONGOING

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

WEBSITE:

  • About Scholars Portal Dataverse
    Status
    colourRedGreen
    titleNEEDEDONGOING


  • 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

DOCUMENTS:

  • SP DV Terms of Use 
    Status
    colourGreenBlue
    titleEXISTSUPDATED
  • SP DV Deposit GuidelinesUser Guide (licenses)
    Status
    colour
    Red
    Green
    title
    NEEDED
    ONGOING


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

DOCUMENTS:

  • Service Level Agreement example 
    Status
    colourGreenBlue
    titleEXISTS
  • SP DV Governance information About Scholars Portal Dataverse (governance)
    Status
    colourRedGreen
    titleNEEDEDONGOING
  • SP DV Preservation Plan
    Status
    colourRedGreen
    titleNEEDEDONGOING


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

R4.

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.

DOCUMENTS:

  • SP DV Terms of Use
    Status
    colourGreenBlue
    titleEXISTSUPDATED
  • SP DV Deposit GuidelinesUser Guide (sensitive / confidential data)
    Status
    colour
    Red - specifically Sensitive Data.
    Green
    title
NEEDED
ONGOING


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)

DOCUMENTS:

  • SP DV Organizational Chart About Scholars Portal Dataverse (org charts / FTE)
    Status
    colourRedGreen
    titleNEEDED
    - at a generic (job title) level only.
    • FTE #s
    • summary job descriptions / qualifications
    • Professional development policies
  • SP DV Governance information,
    Status
    colourRed
    titleNEEDED
    including funding details.
Org Chart with FTE #s, job descriptions, and qualifications
  • ONGOING
  • About Scholars Portal Dataverse (funding)
    Status
    colourGreen
    titleONGOING
  • 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.

WEBSITE:

  • About Scholars Portal Dataverse , (IQSS / expert groups)
    Status
    colourRedGreen
    titleNEEDEDONGOING
    specifically


  • Information about participation in expert
and
  • or working groups
.
  • IQSS community
  • Portage expert groups
  • Information about participation in expert or working groups by institutional support staff.
  • Information about 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 ManagementR7.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

DOCUMENTS:

  • SP DV Curation Functions,
    Status
    colourRed
    titleNEEDED
    specifically as it relates to software functionality related to DP Admin Guide (curation functions such as fixity checks, checksums, version control, metadata defaults, access control, etc.Dataverse North
    Status
    colourGreen
    titleONGOING
  • Dataverse North Metadata Guidelines
    Status
    colourGreenBlue
    titleEXISTS
  • 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.

DOCUMENTS:

  • SP DV Deposit Guidelines, User Guide (file formats, default metadata fields) 
    Status
    colour
    Redincluding the file formats that are accepted and default metadata fields.
    Green
    title
    NEEDED
    ONGOING
  • Dataverse North Metadata Guidelines
    Status
    colourGreenBlue
    titleEXISTS
  • SP DV Deaccession ProceduresAdmin Guide (deaccessioning procedures) 
    Status
    colourRedGreen
    titleNEEDEDONGOING


  • 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

DOCUMENTS:

  • SP DV Security and Infrastructure Information Sheet
    Status
    colourRedBlue
    titleNEEDEDUPDATED
    • Risk mitigation plans
    • Storage locations
    • Storage media
  • SP DV Preservation Plan
    Status
    colourRedGreen
    titleNEEDEDongoing
    • Checksum process
    • ORLC multiple location storage info
This requirement would be the responsibility of SP only.n/aR10.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

DOCUMENT:

  • SP DV Preservation Plan
    Status
    colourRedGreen
    titleNEEDEDongoing
  • SP DV Terms of Use,
    Status
    colourGreenBlue
    titleEXISTSupdated
     as it pertains to permissions given to SP DV 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

DOCUMENTS:

  • SP DV Curation FunctionsAdmin Guide (curation functions)
    Status
    colourRedGreen
    titleNEEDEDongoing
  • SP DV Terms of Use
    Status
    colourGreenBlue
    titleEXISTSUPDATED

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 SP DV 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

DOCUMENTS:

  • SP DV Terms of Use,
    Status
    colourGreenBlue
    titleEXISTS
     as it pertains to metadata harvesting.
    updated
  • SP DV Data Users Guide (search functions, citations, deposits)
    Status
    colourGreen
    titleONGOINGEXISTS
     as it pertains to search functions and citation recommendations.
  • SP DV Deposit Guidelines,
    Status
    colourRed
    titleNEEDED
     as it pertains to metadata schemas available and when persistent IDs are generated.
This requirement would
  •  


This requirement would be restricted to SP only.n/aR14.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

DOCUMENTS:

  • SP DV Deposit GuidelinesUsers Guide (deposits - metadata schemas, file formats/ingests/migration)
    Status
    colour
    Red
    Green
    title
    NEEDED
  • Required metadata and other metadata schemas available for future discovery.
  • File formats allowed and any migration that occurs upon deposit.
    ONGOING
     
  • SP DV Terms of Use, Use 
    Status
    colourGreenBlue
    titleEXISTS
     as it pertains to permissions given to SP DV to provide continued access to data.
    updated
     
  • SP DV Preservation Plan
    Status
    colourRedGreen
    titleNEEDED
  • Future plans for data migration or normalization.
  • Methods for changing procedure when disciplinary standards change over time.
    ongoing
  • 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

TechnologyR15.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

DOCUMENTS:

  • SP DV Security and Infrastructure Information Sheet
    Status
    colourRedBlue
    titleNEEDEDcreated
    • Software and hardware infrastructure.
    • Information on how infrastructure changes are determined and made.
    • Short-term disaster recovery plans.
  • iQSS Dataverse information or specifications.
This requirement would be restricted to SP only.n/aR16.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

DOCUMENTS:

  • SP DV Security and Infrastructure Information Sheet
    Status
    colourRedBlue
    titleNEEDEDcreated
    • Security software used.
    • Physical security at hardware locations.
    • Access restrictions to IT staff.
    • Shibboleth and other authentication info.
  • U of T IT security policies.
This requirement would be restricted to SP only.n/a

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