5.1.1.6 Identified and documented critical processes that affect its ability to comply with its mandatory responsibilities

The repository shall have identified and documented critical processes that affect its ability to comply with its mandatory responsibilities.

Supporting Text

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.

Examples for Meeting the Requirement

Traceability matrix between processes and mandatory requirements.

Discussion

Examples of critical processes include data management, access, archival storage, ingest, and security processes. Traceability makes it possible to understand which repository processes are required to meet each of the mandatory responsibilities.

Evidence Provided

Per bagging specification SIP must include bagit.txt, bag-info.txt, aptrust-info.txt and are verified before ingest.

Mandatory responsibility	Met
Appropriate information	✅ Yes
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	✅ Yes
Contingency planning	❌ No
Reporting and information availability	✅ Yes

Pharos records PREMIS event data and provides reporting on preserved objects

Mandatory responsibility	Met
Appropriate information	❌ No
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	❌ No
Contingency planning	❌ No
Reporting and information availability	✅ Yes

Fixity checks on objects in High Assurance every 180 days

Mandatory responsibility	Met
Appropriate information	❌ No
Sufficient control	✅ Yes
Designated community	❌ No
Independently understandable	❌ No
Contingency planning	❌ No
Reporting and information availability	❌ No

Multiple storage locations and copies of AIPs are kept.

Mandatory responsibility	Met
Appropriate information	❌ No
Sufficient control	✅ Yes
Designated community	❌ No
Independently understandable	❌ No
Contingency planning	✅ Yes
Reporting and information availability	❌ No

5.1.1.2 Adequate hardware and software support for backup functionality sufficient for preserving the repository content and tracking repository functions

Mandatory responsibility	Met
Appropriate information	❌ No
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	❌ No
Contingency planning	✅ Yes
Reporting and information availability	✅ Yes

Double Fault Deletion Procedures

Mandatory responsibility	Met
Appropriate information	✅ Yes
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	❌ No
Contingency planning	❌ No
Reporting and information availability	✅ Yes

Extensive Logging and audit trails Technical Documentation (APTrust members only; supplied to auditors on request)

Mandatory responsibility	Met
Appropriate information	✅ Yes
Sufficient control	❌ No
Designated community	❌ No
Independently understandable	❌ No
Contingency planning	✅ Yes
Reporting and information availability	✅ Yes

APTrust software code is kept in version control. Minor updates and changes are documented with every “commit” to the version control system.

Mandatory responsibility	Met
Appropriate information	✅ Yes
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	❌ No
Contingency planning	✅ Yes
Reporting and information availability	✅ Yes

Processes and infrastructure are monitored; see Monitoring and Alerting (APTrust members only; supplied to auditors on request).

Mandatory responsibility	Met
Appropriate information	❌ No
Sufficient control	✅ Yes
Designated community	❌ No
Independently understandable	❌ No
Contingency planning	✅ Yes
Reporting and information availability	✅ Yes

Restoration Spot Tests, 4.2.7.2 Execute testing process of Content Information of AIPs

Mandatory responsibility	Met
Appropriate information	✅ Yes
Sufficient control	✅ Yes
Designated community	✅ Yes
Independently understandable	✅ Yes
Contingency planning	✅ Yes
Reporting and information availability	✅ Yes

Original Documentation Original Documentation OASIS

Actions needed/Improvements

These are Key Performance Parameters. Let’s work on a better mapping matrix that identifies the functionality to meet this, as well as the specific processes in place. Some of these are functional requirements, and some are non-functional. But the above does do the basic trick. We DO need to update the pages in many case.