The following chart outlines which policies or procedures were referred to in the CTS applications for the indicated organizations. The names of the policies or procedures should match the filenames listed on the C.1 through C.6 file pages.
As a reminder, compliance level 3 means that the repository is currently implementing the requirement and compliance level 4 means that the repository has completely implemented the requirement.
CTS Requirement | DANS: EASY | DataverseNL (Tilburg) | DataverseNO1 | Odum | IRIS2 | FSSDA |
---|---|---|---|---|---|---|
R0. Background Info & Context | Service Level Agreement (not public) | Collaboration Agreement (not public) Processor Agreement (not public) Service Level Agreement (not public) | Partner Agreement (not public) Norwegian national research policies referenced. About DataverseNO Deposit Agreement Preservation Policy Curator Guidelines Accession Policy | Org Chart Various Odum and UNC websites. Data-PASS Articles of Collaboration | University and repository websites. Archives Formation Plan | |
R0.d. Level of Curation Performed | B. Basic Curation | B. Basic Curation | D. Data-level Curation | D. Data-level Curation | C. Enhanced-Curation | D. Data-level Curation |
Organizational Infrastructure | ||||||
R1. Mission / Scope | Comp. Level = 4 NWO-KNAW Collaboration Agreement | Comp. Level = 4 Research Data Management Regulations | Comp. Level = 4 Steering Document Preservation Policy Policy Framework & Definitions | Comp. Level = 4 Digital Preservation Policy Odum Mission Statement | Comp. Level = 4 IRIS and Data Services Strategic Plans | Comp. Level = 4 Archives Formation Plan Internal manual not available publicly. |
R2. Licenses | Comp. Level = 4 License Agreement General Conditions of Use Legal Information | Comp. Level = 4 DataverseNL General Terms of Use | Comp. Level = 4 Deposit Agreement Preservation Policy Access & Use Policy Deposit Guidelines | Comp. Level = 4 Terms of Use Data Security Guidelines UNC ITS Info Security Policy | Comp. Level = 4 Data Provider Agreement | Comp. Level = 4 General Terms and Conditions of Data Use Terms and Conditions for the Use of the Alia Data Service Deposit Agreement |
R3. Continuity of Access | Comp. Level = 4 Legal Information NWO-KNAW Collaboration Agreement License Agreement | Comp. Level = 3 Front Office / Back Office Service Agreement (not public) Project Workflow (not public) | Comp. Level = 4 Deposit Agreement Steering Document Preservation Policy | Comp. Level = 4 Digital Preservation Policy Data-PASS Articles of Collaboration | Comp. Level = 4 Data Provider Agreement | Comp. Level = 33 Archives Formation Plan |
R4. Confidentiality / Ethics | Comp. Level = 4 Legal Information Service Level Agreement (not public) Privacy Statement | Comp. Level = 4 Research Data Management Regulations DataverseNL General Terms of Use Multiple government & university-level policies referenced. | Comp. Level = 4 Deposit Agreement Accession Policy Curator Guidelines Multiple government policies referenced. | Comp. Level = 4 Collection Development Policy Data Deposit Form Terms of Use Data Security Guidelines Data Curation Workflow SOP: Data Deposit SOP: Sensitive Data Handling UNC ITS Info Security Policy | Comp. Level = 4 Mission Statement Data Provider Agreement | Comp. Level = 4 Data Management Guidelines Archives Formation Plan General Terms and Conditions for Data Use |
R5. Organizational Infrastructure | Comp. Level = 4 Strategic Policy (not in English) Org Chart | Comp. Level = 4 Org Structure (not available) | Comp. Level = 3 About DataverseNO Steering Documents Policy Framework & Definitions Administrator Guidelines (not in English) Curator Guidelines Deposit Guidelines Other university & country-specific info. | Comp. Level = 4 Org Chart Digital Preservation Policy | Comp. Level = 4 Cooperative Agreements with the NSF (not downloaded) Org Structure Governance Best Practices | Comp. Level = 4 Various university and government websites and policies referenced. |
R6. Expert Guidance | Comp. Level = 4 Steering Committee & Advisory Boards Research & Innovation Preservation Strategy (in Pres. Plan) | Comp. Level = 4 | Comp. Level = 4 | Comp. Level = 4 Digital Preservation Policy | Comp. Level = 4 Data Services Standing Committee | Comp. Level = 4 Various university and government websites and policies referenced. |
Digital Object Management | ||||||
R7. Data Integrity & Authenticity | Comp. Level = 4 Preservation Plan Provenance Document File Formats | Comp. Level = 4 Template Data Report | Comp. Level = 4 Deposit Guidelines Curator Guidelines Preservation Policy | Comp. Level = 4 Data Curation Workflow Digital Preservation Policy Metadata Guidelines SOP: Cataloguing | Comp. Level = 4 Data Provider Agreement | Comp. Level = 4 Archives Formation Plan Depositing Data through Alia |
R8. Appraisal | Comp. Level = 4 Information About Depositing Data (multiple PDFs) File Formats | Comp. Level = 4 Deposit Instructions Template Data Report DANS File Formats | Comp. Level = 4 Accession Policy Deposit Guidelines Policy Framework & Definitions Curator Guidelines Deposit Agreement | Comp. Level = 4 Collection Development Policy Data Deposit Form Curation Workflow SOP: Data Deposit | Comp. Level = 4 Data Services 2003 Strategic Plan Data Providers Agreement Submitted SEED Data | Comp. Level = 4 Archives Formation Plan Depositing Data through Alia Deposit Agreement |
R9. Documented Storage Procedures | Comp. Level = 4 Preservation Plan Business Continuity Plan - Crisis Management Plan (not public) | Comp. Level = 4 Service Level Agreement (not public) | Comp. Level = 4 Preservation Policy Various university-specific policies referenced. | Comp. Level = 4 UNC ITS Info Security Policy OAIS document Digital Preservation Policy | Comp. Level = 4 Internal documentation referenced. DMC Physical Systems diagram | Comp. Level = 33 Archives Formation Plan National Digital Preservation Service Specifications (not downloaded) |
R10. Preservation Plan | Comp. Level = 4 License Agreement Preservation Plan Preservation Strategy (in Pres. Plan) | Comp. Level = 3 Front Office / Back Office Service Agreement (not public) Project Workflow (not public) | Comp. Level = 4 Preservation Policy Preservation Plan Accession Policy Deposit Agreement Deposit Guidelines Becker et al., 2009 | Comp. Level = 4 Digital Preservation Policy Collection Development Policy Data Curation Workflow SOP: Data Deposit Data Deposit Form Terms of Use | Comp. Level = 4 Data Provider Agreement Submitting data website. | Comp. Level = 4 Archives Formation Plan Deposit Agreement National Digital Preservation Service Specifications (not downloaded) |
R11. Data Quality | Comp. Level = 4 General Conditions of Use | Comp. Level = 4 | Comp. Level = 4 Deposit Guidelines Accession Policy | Comp. Level = 4 Collection Development Policy Curation Workflow SOP: Data Deposit Metadata Guidelines SOP: Cataloging | Comp. Level = 4 IS Quality Principles Quality Assurance Advisory Committee | Comp. Level = 4 Archives Formation Plan Depositing Data through Alia |
R12. Workflows | Comp. Level = 4 Information About Depositing Data (multiple PDFs) Provenance Document Legal Information Guidelines for Appraising & Selecting Research Data (publication - not found) | Comp. Level = 4 Deposit Instructions | Comp. Level = 4 Deposit Guidelines Curator Guidelines Accession Policy Preservation Policy Deposit Agreement | Comp. Level = 4 OAIS document Curation Workflow SOP: Data Deposit SOP: Cataloging SOP: Sensitive Data Handling Data Security Guidelines Collection Development Policy Terms of Use Data Deposit Form | Comp. Level = 4 | Comp. Level = 4 Archives Formation Plan |
R13. Data Discovery & Identification | Comp. Level = 4 General Conditions of Use | Comp. Level = 4 | Comp. Level = 4 About DataverseNO | Comp. Level = 4 Metadata Guidelines | Comp. Level = 4 Citations | Comp. Level = 4 General Terms and Conditions of Data Use |
R14. Data Reuse | Comp. Level = 4 Information About Depositing Data (multiple PDFs) | Comp. Level = 4 Template Data Report | Comp. Level = 4 Accession Policy Deposit Guidelines Curator Guidelines Preservation Policy Preservation Plan | Comp. Level = 4 Metadata Guidelines SOP: Cataloging Data Deposit Form Digital Preservation Policy | Comp. Level = 4 | Comp. Level = 4 Archives Formation Plan |
Technology | ||||||
R15. Technical Infrastructure | Comp. Level = 4 Preservation Plan | Comp. Level = 4 | Comp. Level = 4 Preservation Policy | Comp. Level = 4 OAIS document UNC ITS Info Security Policy | Comp. Level = 4 DMC Software Stack diagram | Comp. Level = 33 Archives Formation Plan National Digital Preservation Service Specifications (not downloaded) |
R16. Security | Comp. Level = 4 Business Continuity Plan - Crisis Management Plan (not public) | Comp. Level = 4 Service Level Agreement (not public) | Comp. Level = 4 University-specific policies referenced. Steering Document | Comp. Level = 4 UNC ITS Info Security Policy | Comp. Level = 4 Security Policy (not public) | Comp. Level = 4 Archives Formation Plan Depositing Data through Alia Tampere University Rescue Plan (not downloaded) |
Notes:
1 DataverseNO's CTS application is very extensive and includes a lot of duplication. It isn't a good example of a "typical" application.
2 The IRIS repository has only a few formalized policies/procedures which are documented separately. Many of their references were to various websites that contained tools, as opposed to how-to documentation.
3 This is the Finnish Social Science Data Archive's second CTS application, yet this requirement is still rated as compliance level 3. CTS application instructions indicate that subsequent applications must have all requirements fully implemented. Unsure why there was an exception in this case.