DRAMVORA Interactive User Manual. Draft.
Contents
1. 2 3 4 Formalise Mandate s 5 Formalise Constraints 6 Formalise Objectives Formalise Activities amp Assets 8 9 10 Figure 1 DRAMBORA Workflow DRAMBORA Interactive User Guide Page 5 of 34 SECTION 1 INTRODUCTION Before beginning the assessment you should conduct a preliminary analysis of the repository documentation and arrange appointments with repository staff for onsite interviews and visits to the repository site After completing the assessment you will have two distinct outputs 1 a risk register of your repository produced using the automatic DRAMBORA reporting system 2 an audit report structured along the ten characteristics of digital preservation repositories as defined by the CRL OCLC nestor DCC DPE meeting in January 2007 This report is produced using the documentation and information collected and analysed for the assessment For more information about the DRAMBORA methodology see Digital Repository Audit Method Based on Risk Assessment 2007 URL http Awww repositoryaudit eu DRAMBORA Interactive ch ven le LAA Gel rem ir p es er rr La Dr T 1 il gt Pri G 8 H L Tk Weken Lo DAME nber ier Log la Hop der Lo er the Took ASS Fa Zei em Pens hh I e ba E E e og H rap K eug A He Ze SE P ES er T 7 de BR kp mm fe sap mld d y gc per Reiz am a be eo Eon ac LPE A LE a eS by 2 JISC ca boom de Pared Pera A 7 Lini2. Add Activities and Assets Add Risks Assess Risks Manage Risks Update Logged in Andrew McHugh Auditor Business Manager a SE Data Liaison Officer manage risks identified risks at Florida Digital Archive at The risk management measures defined in this stage describe the responses that will be University of Florida implemented following the assessment process Responsibility for each management measure ttdefined activities Last Login 28 Nov 2008 should be allocated to one or more roles and details of timescales and projected outcomes z defined Log Out S defined objectives H z Risk Budgetary reduction oms Enforced cessation of repository operations Online Help defined constraints User Admin Before the Assessment defined mandate Assessment Centre Risk Name Budgetary reduction Report Results Description Repository s operational budget is reduced assessment progress Latest News Get Expert Help Download Offline Version Submit Feedback Risk Owner Repository Management Probability High saved snapshots Impact Medium Organisational Viability Severity 12 out of 25 DRAMBORA Training Strategy Avoidance 7 About Type Objectives Benefits Strategy Ingest Officer Owner Repository Management The DRAMBORA Team Dissemination DRAMBORA Users Strategy Target Reassessment YYYY MM DD
3. DRAMBORA Interactive User Guide Page 32 of 34 SECTION 7 APPENDICES APPENDIX 3 SAMPLE DOCUMENTA TION Numerous different kinds of documentation may come in useful during the audit process The following list provides some idea of potentially relevant documentation that organisations undertaking self assessment with DRAMBORA may aggregate to support the process Needless to say this list is neither exhaustive nor in its entirety compulsory some documents may be more or less relevant depending on the organisation The technological characteristics of the repository are just one of various considerations that also include its organisational procedural and contextual attributes e Examples of strategic planning documents e g business plans departmental development plans Annual reports Examples of documents and or legislation that define the repository s mandate Relevant legislation Examples of deposit agreements contracts that you might have available Example job descriptions A recent organisational chart including details of training commitments Example staff profiles or r sum s Copies of financial reports or business plans A copy of the repository s risk register disaster plan or exit strategy Documents detailing policy in key areas such as designated community definition and associated service levels preservation strategies guidelines for selection and ingest access and disaster recovery e System doc
4. B4 1 Preservation strategies B4 2 Storage migration strategies DRAMBORA Interactive User Guide Page 33 of 34 SECTION 7 APPENDICES B6 2 Policy for recording access actions B6 4 Policy for access C1 7 Processes for media change C1 8 Change management process C1 9 Critical change test process C1 10 Security update process C2 1 Process to monitor required changes to hardware C2 2 Process to monitor required changes to software C3 4 Disaster plans DRAMBORA Interactive User Guide Page 34 of 34
5. Download Offline Version Submit Feedback DRAMBORA Training About Objectives Benefits The DRAMBORA Team Dissemination DRAMBORA Users Repository constraints take many forms and can be succinctly described as any factor that compels or influences the repository to operate in a particular fashion These can originate externally e g legislation prohibiting release of particularly materials or internally e g policies describing particular protocols for information ingest Name Description Type Legislation y Functional Mandate amp Commitment to Digital Object Maintenance Class es Organisational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Acquisition amp Ingest Preservation of Digital Object Integrity Authenticity amp Usability Metadata Management amp Audit Trails Dissemination Preservation Planning amp Action Adequate Technical Infrastructure File Browse or URL Not Public Add Extra File s Save Constraint and Add More Save Constraint and Proceed DRAMBORA Consortium Sponsors PZ GF JISC E Date Published 1 February 2008 Last Modified 1 February 200 Let me see some generic constraints examples corresponding to Mandate amp Commitment cl Go identified risks defined activities defined objectives defined constraints defined mandate assessment progress saved snapsho
6. mandate saved snapshots Page 11 of 34 SECTION 4 ASSESSMENT CENTRE A4 Add Staff Next click on the link to Add Staff Fig 7 Enter details for each member of repository staff Staff are the real people that occupy the various roles in your repository You can choose to create new or associate existing DRAMBORA Interactive users to link with each staff member This is not absolutely necessary but it permits these staff members to provide hands on contributions to the audit process Each member of staff will need his or her own user accounts to log into the DRAMBORA tool Staff members can be defined as either coordinators or contributors ln common with other repository administration activities only coordinator users can create and edit staff members DRAMBORA titative seseante Active Repository Florida Digital Archive at University of Florida Register for DRAMBORA DRAMBORA Online Tool Prep Centre Edit Staff Update Logged in Andrew McHugh Prep Home Edit Repository Define Assessment Scope Manage Functional Cla Add Staff Edit Staff Add Role Edit Role Role Assignment e Auditor Business Manager e Data Liaison Officer preparation centre edit staff Hidentified risks at Florida Digital Archive at From this part of the DRAMBORA tool you can edit existing staff members in the repository You University of Florida can also change user associations Hdefined a
7. Date Add a Risk Mitigation Strateg Save Risk Management DRAMBORA Consortium Sponsors HE gl O VA Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notice Figure 18 Manage Risk page This concludes the Risk Assessment element of DRAMBORA Interactive The next and final stage is to produce the Risk Register report DRAMBORA Interactive User Guide Page 25 of 34 SECTION 5 REPORT RESULTS C REPORT RESULTS Your risk register should now be complete and you will probably wish to see the results of your work There are a number of ways to format and export your report Click Report Results on the left hand side of the screen Fig 18 and select one of the following options Export as PDF View Assessment Data in Browser Advanced Report Builder Choosing Export as PDF offers a further three options Generate Risk Register PDF all current risks page per risk Generate Risk Register PDF all current risks landscape tabular Advanced Risk Register Builder Choosing View Assessment Data in Browser offers two options Generate Risk Register all current risks new window Advanced Risk Register Builder The Advanced Report Builder option allows you to customise your report in several ways You can choose to display only those risks that are linked to a subset of the functional class
8. Click select all to choose these ten and then click the Save button Tip You may wish to structure the definition process according to your own bespoke Functional Classes or use a subset or superset of the ten default exemplars This can all be configured via the Define Functional Classes screen While any part of the DRAMBORA process can be returned to at a later time as a fundamental aspect of the repository it is suggested that the set of Functional Classes should not be altered once it has been defined DRAMBORA IM D CIC b Active Repository Florida Digital Archive at University of Florida Update Register for DRAMBORA DRAMBORA Online Tool Prep Centre Manage Functional Classes Logged in Andrew McHugh Prep Home Edit Reposit Def ent Manage Functional Classes e Auditor Business Manager e Data Liaison Officer preparation centre functional classes identified risks at Florida Digital Archive at Here you must select which functional classes you will use to classify objectives constraints University of Florida activities assets and risks and ultimately structure the DRAMBORA assessment process and its defined fundamental outcomes Ten default functional classes are suggested based on work done in collaboration with groups responsible for the TRAC and nestor repository assessment criteria It is strongly recommended that you use each of these in order to make your asses
9. Enforced cessation of repository Home e SEET y S SS operations Repository is forced to epositories D igi chi iversi ida y SI Online Galo D Florida Digital Archive at University of Florida 7 oa a User Admin Roles Repository Management y Before the Assessment i defined activities erana mEnE Contre Staff Repository Management Auditor Andrew McHugh pray Business Manager Andrew Mck Report Results New Position Raivo Ruusalepp old Data Liaison Officer Andrew M defined objectives Latest News All gt Get Expert Help Download Offline Version Submit Feedback defined constraints defined mandate DRAMBORA Training About Save Role Assignment z assessment progress Objectives Benefits The DRAMBORA Team Dissemination DRAMBORA Users saved snapshots New Snapshot H Quarter 3 200 ith Oct 201 DRAMBORA Consortium Sponsors E pl Bore Le out gen es Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notices Figure 9 Role Assignment page Note on User Admin In DRAMBORA Interactive logged in users can update their own details at any time via the User Admin screen Fig 10 For security purposes it is possible to limit the IP addresses that users may log in from this supports wild cards for example TT permits access from any IP 1
10. zm me mil ai PARA EA FE i Preparar 6 pee eee eee ood poy eee ees T Te Heg we ey ee zm TILA rap es ge L t E kale ipa d poe Hal pee Pee eee ot ie EA r ep ees rara Tg may pa eed eee ees AA z MT R et dira E aj j rare GE LER E eumadaad Giles 1 near ee ear A Meng aap pp J TTET Fre WA Vd A a h par q 5 F End Sa rl au a p arh h Sr ALA me a ee g pa arer a EA B rig Snigapge si d E d Se 7 ER E pL Ri ve Kee sai ee mm emm el H a ir a ha reg Ar imiia He j Era ihe A y L Figure 5 Define Assessment Scope page DRAMBORA Interactive User Guide Page 10 of 34 SECTION 4 ASSESSMENT CENTRE AS Define Functional Classes determining the structure for the audit Functional classes are a means of categorising audit information to facilitate the process and make reports more meaningful In this section you will select how you are going to structure your audit responses and outcomes You must select at least one functional class at this stage and it is recommended that you spend some time here to ensure your choice is comprehensive If you feel that the predefined functional classes are insufficient you can define your own additional ones although a default set of ten is provided and recommended Click Manage Functional Classes to see the available descriptors Fig 6 the ten default classes correspond with the ten principles of digital repositories on which DRAMBORA is structured
11. any time To do so use the Saved Snapshot panel and click on New Snapshot at the foot of the right hand side of the screen Fig 20 You can then view and navigate the responses corresponding to this particular time and analyse the interrelationships between the accumulated information You are currently viewing a READ ONLY selection of assessment responses saved as Quarter 3 2008 on Wednesday 8th October 2008 Return to Edit Mode DRAMBORA tre set tn Active Repository Florida Digital Archive at University of Florida y Register for DRAMBORA DRAMBORA Online Tool Assessment Centre View Risk Logged in Andrew McHugh Audit Home Mandate View Constraints View Objectives View Activities View Risks Risk Assessment and Risk Management View Auditor Business Manager e Data Liaison Officer f i K See y Use this page to navigate between the various related characteristics of this single risk You can at Florida Digital Archive at select alternative risks using the selection panel on the right hand side of the screen University of Florida identified risks Budgetary reduction Repository s Risk Name mu operational budget is reduced ES Last Login 28 Noy 2008 Budgetary reduction Enforced cessation of repository Log Out Identified SST operations Repository is forced to cease its business activities ad Home potential Medium to Organisational Viability User Admin Proba
12. at Repository at The Royal obje Commission on Ancient and Historical Testaments in Scotland ctives ES have you considered Objectives are measurable strategic aims of the repository and can correspond with any of its business areas These are the outcomes that the repository pursues and can be contrasted with Let me see some generic objectives examples corresponding to Last Login 26 Nov 2008 Log Out Home Online Help User Admin Before the Assessment the specific strategies employed to facilitate their achievement called activities within DRAMBORA Adding a quantitative dimension to each objective will facilitate its measurement and the subsequent identification of risks Mandate amp Commitment z Go identified risks You may wish to reference PLATTER A Planning Tool for Trusted Electronic Repositories UI this tool published by DPE facilitates the identification of strategic objectives for repository administrators defined activities Name Assessment Centre Report Results Latest News Get Expert Help Description defined objectives defined constraints Download Offline Version Submit Feedback defined mandate Documented DRAMBORA Training assessment progress Referenced About in or Related ae to Objectives saved snapshots Benefits The DRAMBORA Team Functional Mandate amp Commitment to Digital Object Maintenance Dissemination Class es Organ
13. or policy These must be documented to relate to objectives and ultimately to risks d Objectives Objectives are the strategic aims of the repository structured according to the functional classes decided upon earlier These should be expressed in suitably specific terms ideally with an associated quantitative target to facilitate understanding of their achievement e Activities and Assets These are the practical actions and resources that the repository has in place to meet the objectives stated above f Identify Risks At this stage assessors should detail each of the risks that relates to the organisation Assessors can recycle pre existing risks making necessary changes to suit their own specific context g Assess Risks Assessors should determine the probability and potential impact of each identified risk in order to determine the most severe risks in need of the most urgent attention DRAMBORA Interactive User Guide Page 31 of 34 SECTION 7 APPENDICES h Manage Risks At this stage the final point of the self assessment process you should devise appropriate risk management techniques in order to alleviate the vulnerabilities that your repository is exposed to 4 Once the assessment stages are finalised you may view the various reporting options Through the Report Centre you may export the results of the assessment to the web or to a PDF document You may export all the identified risks or a structured and ordered subset
14. s operational budget is reduced age e A High S Hsaved snapshots Expression Organisational Viability h Impact Medium Ka DRAMBORA Training About Tare isk N Enforced cessation of repository operations Objectives EE o ug Benefits Description Repository is forced to cease its business activities The DRAMBORA Team Probability Low UE Dissemination DRAMBORA Users Expression Organisational Viability y Impact Very High UE Save Risk Assessments DRAMBORA Consortium Sponsors PS ep Ce Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted N Figure 17 Assess Risk page DRAMBORA Interactive User Guide Page 24 of 34 SECTION 4 ASSESSMENT CENTRE B 7 Manage Risks The final stage of the audit is to define an appropriate set of risk management measures and to set targets that might limit the likelinood and the impact of their occurrence Click Manage Risk Fig 18 and for each risk you should record details of treatment or avoidance measures anticipated outcomes and set a date at which the risk should be reassessed DRAMBORA iterativo Coco Risc assessment Active Repository Florida Digital Archive at University of Florida Register for DRAMBORA DRAMBORA Online Tool Assessment Centre Manage Risks Assessment Home Add Mandate Add Constraints Add Objectives
15. 30 209 permits access from anywhere on the 130 209 x x network lt is recommended that you restrict access to your own IP address or to your local network range DRAMBORA Interactive User Guide Page 14 of 34 SECTION 4 ASSESSMENT CENTRE cra am Ir Adii weer deiei s SAM Caine Joel linear Adma gt t ler Detaffa les E r zeg Y Ca Meer eed Green tre Pl DRAMBORA Interactive User Guide Aida ridad risika Tielised gctiwilins Ldeticed abjadi brai geleed cons lrain pa Talinas d mpn fsla TTE PARA fide ed tea pa be pe e Page 15 of 34 SECTION 4 ASSESSMENT CENTRE B ASSESSMENT CENTRE The Assessment Centre is the pivotal stage of the audit The constituent steps in this process are B1 Add Mandate B2 Add Constraints B3 Add Objectives B4 Add Activities and Assets B5 Add Risks B6 Assess Risks B7 Manage Risks Tip Asterisked fields are mandatory within the Assessment Centre Remember that DRAMBORA Interactive is a recursive process so stages can be returned to at any time DRAMBORA Interactive User Guide Page 16 of 34 SECTION 4 ASSESSMENT CENTRE B1 Add Mandate The first requirement is to define the mandate of the audited repository The mandate describes the repository s mission or reason for existence This is the general statement that legitimises the repository and broadly describes its objectives Because repositories are unlikely t
16. Hal Peers 8 E dl Lem bel L gi Ariana AR ii ee ee PA ara 8 m Zb A a Zr usa J a pla a Figure 2 DRAMBORA Interactive homepage Combining a methodology and an online interactive application the DRAMBORA toolkit enables organisations to assess and monitor how well they are preserving and curating their digital assets By following a step by step approach this document shows how to use DRAMBORA Interactive Figure 2 As you work your way through this guide you will learn how to manage the necessary documentation for repository assessment and how to build a risk profile of the assessed repository Core Requirements for Digital Archives Center for Research Libraries CRL 2007 URL http www crl edu content asp I1 13812 58813 162814 92 DRAMBORA Interactive http www repositoryaudit eu DRAMBORA Interactive User Guide Page 6 of 34 SECTION 2 REGISTRATION REGISTRATION In order to use DRAMBORA Interactive you need to register for the DRAMBORA Interactive online tool and complete a series of audit responses to correspond with a sample repository Registration process 1 Visit http www repositoryaudit eu and click Register for DRAMBORA in the top left of the screen Fig 3 Enter the name of your repository and fill in the subsequent fields which describe it Ropler press opi for PLA Elk Assan a Al y AA as ein on ei Pape Tha z G egent APAR ee A PA AA A AA A me aa Mr go de ra br
17. PAGE is 10 FIGURE 6 DEFINE FUNCTIONAL GLASSES PARES o dha eee ao 11 FIGURE ADD TARE PARE ed Lao 12 FIGURES EDIT ROE PAGES usais eee 13 FIGURE 9 ROLE ASSIGNMENT PAGE anannnnannnnnnnnnnnnnnnnnninnnnrnrnnrnrninnnionrnrnar rra rnnn nonr nn naonnana DADA EREDA DE nA nAn E anaran nananman 14 FIGURE 10 USER ADMIN PAGE usd deidad 15 FIGURE 11 ORGANISATIONAL MANDATEDAGE 17 FIGURE 12 ADD CONSTRAINTS PAGE s 18 FIGURE E EE ei ebe en NEE 19 FIGURE 14 ADD ACTIVITIES AND ASSETS PAGE occ eres 20 FIGURE 15 ADD RISK PAGE CREATING A NEW RISK FROM SCHATCH nn 22 FIGURE 16 ADD RISK PAGE SELECTING AN OFF THE SHELF RISk 23 FIGURE 18 SIVIANAGE RISK PAGE tezamina a el e dead adas called dada ad 25 FIGURE TOS REPORT BUILDER EEN 27 FIGURE 20 EXAMPLE OR SAVED ONAPSHO Lt hostel ota ete dotada o id elos 28 DRAMBORA Interactive User Guide Page 3 of 34 SECTION 1 INTRODUCTION INTRODUCTION About DRAMBORA Developed jointly by the Digital Curation Centre DCC and DigitalPreservationEurope DPE the Digital Repository Audit Method Based on Risk Assessment DRAMBORA represents the main intellectual outcome of a period of pilot repository audits undertaken by the DCC throughout 2006 and 2007 lt presents a methodology for self assessment encouraging organisations to establish a comprehensive self awareness of their objectives activities and assets before identifying assessing and managing the risks implicit within their organisatio
18. Repository Audit Method Based on Risk Assessment D C C Active Repository Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Update DRAMBORA Online Tool Assessment Centre Identify Risks Assessment Home Add Mandate Add Constraints Add Objectives Add Activities and Assets Add Risks Assess Risks Manage Risks identify risks Zi You can choose to define a new risk or alternatively base your risk definition on an existing generic DRAMBORA risk or one that you have already defined Risks describe challenges or threats that impede the achievement of repository objectives obstruct activities and prejudice the continued availability of essential assets Hdefined Build upon existing risk Define new risk from scratch Risk Name Risk Description Hdefined Hdefined Hidentified risks Hdefined activities objectives constraints mandate Massessment progress Add a Risk Vulnerability Add a Risk Consequence Add a Risk Relationship Nature of Risk Physical Environment Personnel Management amp Admin Procedures Operations amp Service Delivery OOOO Hardware Software or Communications Equipt amp Facilities Risk a Owner s gt Functional Mandate amp Commitment to Digital Object Maintenance a Class es Organisational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Acquisition amp In
19. Title mr First Name Andrew Surname McHugh Submit With Existing User Delete This Staff Member DRAMBORA Consortium Sponsors PB GF SC NG Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notices Figure 7 Add Staff page DRAMBORA Interactive User Guide Page 12 of 34 SECTION 4 ASSESSMENT CENTRE A5 Add Role Edit Role Role Assignment Roles have a special meaning within DRAMBORA and are distinct from job titles Roles describe broad functions with associated responsibilities many staff members can therefore occupy a single role In DRAMBORA roles are characterised by their function e g Ingest Dissemination Financial Management Preservation Planning Their relationship to staff members is 7 to n Therefore many staff members can perform single roles Roles are used to associate activities risks and risk management responsibilities with specific individuals or sets of individuals Click Add Role and enter the key roles that will exist within the repository Figs 8 and 9 lf these are not clear cut then you may choose to use the main functions provided within OAIS as a guide e g Ingest Data Management Archival Storage Preservation Planning Administration and Access Roles allow the auditor to assign particular challenges and risks to specific individuals or groups of individuals Finally in thi
20. biitty SE severo O EEN Hdefined activities Before the Assessment Assessment Centre Report Results Latest News Risk pee Repository s operational budget is reduced defined constraints Get Expert Help Description Download Offline DER Local recession provokes budgetary reduction of government Version Vulnerability financed repository defined mandate Submit Feedback Risk Seen Budgetary reduction to Enforced cessation of repository operations DRAMBORA Training Relationships Contagious a i in assessment progress About Objectives Nature of Physical Environment x Risk saved snapshots Benefits Personnel Management amp Admin Procedures Ff The DRAMBORA Team Operations amp Service Delivery x D I Quarter 3 2008 8th Oct 2008 Dissemination Hardware Software or Communications Equipt amp Facilities DRAMBORA Users p as Repository Management Owner s EE Supporting Functional Classes Class es Mandate amp Commitment to Digital Object Maintenance Organisational Ft Linked to Management Strategy ies DRAMBORA Consortium Sponsors Al MIS SC Information Society e rd Di Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notices Figure 20 Example of Saved Snapshot DRAMBORA Interactive User Guide Page 28 of 34 SECTION 7 APPENDICES APPENDICES APPENDIX 1 GLOSSARY As
21. bing particular protocols for information ingest Define any constraints which your repository is subject to or influenced by clicking Add Constraints Fig 12 This should include any relevant factor that influences or informs the repository s objectives or activities e g policies laws technical constraints or even less tangible cultural considerations such as lack of financial confidence Try to come up with a variety of constraints that correspond to the categories available You can upload files or include web links that describe individual constraints in more detail External files can be linked to offer further information Digital Repository Audit Method Based on Risk Assessment DRAMBORA mteractive DICC Active Repository Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Update Register for DRAMBORA Logged in Andrew McHugh Assessment Home Add Add Activities and Asset DRAMBORA Online Tool Assessment Centre Constraints landate Add Constraints Add Objectives Add Risks Assess Risks Manage Risks e Test Position at Repository at The Royal constrain Commission on Ancient and ts Y have you considered DRAMBORA Interactive Historical Testaments in Scotland Last Login 26 Nov 2008 Lod Vu Home Online Help User Admin Before the Assessment Assessment Centre Report Results Latest News Get Expert Help
22. ctivities Last Login 28 Nov 2008 x NS A x z ne A gt Each staff member identified in this section should correspond with a tangible position occupied or otherwise that is implicit within the perimeter of the repository defined in the previous scoping section Staff members should be distinguished from DRAMBORA Interactive users defined objectives Home Although repository staff can be given user status within DRAMBORA this is not obligatory Log Out 7 Similarly individual DRAMBORA users may have more than one staff responsibility within a Online Help Hdefined constraints single repository or across several User Admin Ee i mat BEER may pan details within EE preparation Centre Contributors are limited to the main assessment activities pages Hdefined mandate Assessment Centre Report Results Repository Florida Digital Archive at University of Florida gt Latest News Staff Business Manager a Ee Member Get Expert Help Download Offline Version Position Business Manager saved snapshots Staff No Submit Feedback Address DRAMBORA Training About Objectives Benefits Telephone The DRAMBORA Team Dissemination Email DRAMBORA Users Status Contributor v Associate Staff Member with an existing DRAMBORA use Create a new corresponding DRAMBORA user No corresponding DRAMBORA user and delete any existing associations Username ab Get user Username amh
23. digital preservation urope dei D C C User Guide Martin Donnelly Perla Innocenti Andrew McHugh Raivo Ruusalepp Glasgow 2009 Table of contents INTRODUCTION sion coca e nc ndo 4 ABOUT DRAMBOR EE 4 RRE Ee e e EE 5 DRAMBORA INTERACTIVE caida 6 REGISTRA TION sit A adi 7 REGCISTRATON PROCESS ato 7 NOTE ON NAVIGATING THE S STE Md A A bettie 8 BEFORE THF ASSESS MEN 00 o do 9 A1 EDIT REPOSITORY DEFINING THE SCOPE OF YOUR AUDIT 9 A2 DEFINE ASSESSMENT DCORPE urana n raran a rannan annA E LAPERA DELADE LAPEL A LAADAL raana annant 10 A3 DEFINE FUNCTIONAL CLASSES DETERMINING THE STRUCTURE FOR THE AUDIT 11 a A O a IE ee ee ee Lee ete E 12 A5 ADD ROLE EDIT ROLE ROLE ASeIOoNMENT 13 NOTE ON USER ADMIN 14 ASSESSMENT GCGENTRE lt a EEN 16 es PN de DEE 17 B2ADD GONSTRAIN EEN 18 AA EE 19 B4 ADD ACTIVITIES AND ASSETS a is 20 RI e EE 21 A A A teens 24 DERIVAN AGE RIUS EEN 25 E REPORT H e KEEN 26 ADDITIONAL FEATURES oq a iia 28 APPEND TEGO SSA acabe edo al 29 APPENDIX 2 QUICKSTART E RE 31 APPENDIX 3 SAMPLE DOCUMENTATION 33 DRAMBORA Interactive User Guide Page 2 of 34 Index of figures FIGURE 1 DRAMBORA WORKFLOW EE EE 5 FIGURE 2 DRAMBORA INTERACTIVE HOMEPAGE nnnanananonnnnnnnnnnnnnnnonnnrnnonrnrnionrnrnrnrrnrnrnionrnrninnrnrninnnnrninrnrrnnrnrrnnnn 6 FIGURE 3 REPOSITORY REGISTRATION PARE e et edo EROS annn 7 PIGURE4 EDIT REPOSITORY PAGE le de ere dde 9 FIGURE 5 DEFINE ASSESSMENT SCOPE
24. ds De cl letra gi DH mfy CO ng Tea Figure 3 Repository registration page 2 If you are already logged in to the system you can simply link the new repository to your own user name Alternatively you can create a new DRAMBORA Interactive user Enter your details in the corresponding fields If necessary further users can be associated with the repository later in the process During registration it is essential that you provide an email address Following registration you will receive an email which you must respond to in order to validate your user and to log in 3 Finally you must create corresponding staff details for this user You can enter the name of any position 4 Now check your email and click on the enclosed link in order to log into the DRAMBORA system For security purposes you can limit the IP addresses that users may log in from This supports wildcards for example permits access from any IP while 130 209 permits access only from the 130 209 x x network It is recommended that you restrict access to only your own IP or local network range DRAMBORA Interactive User Guide Page 7 of 34 SECTION 2 REGISTRATION Note on Navigating the System The DRAMBORA Interactive tool has three main sections A Before the Assessment B Assessment Centre C Report Results Although it is recommended that you follow a linear path through the audit process you can save your progress as a snapshot if y
25. e undertaken within your organisation in order to meet individual objectives Fig 14 You can also add details of required or related assets for each activity to take place and an owner a role that has responsibility for each activity Please note that assets are anything that is required to facilitate the achievement of particular objectives tangible or otherwise i e the repository s reputation specific competencies of your staff etc Digital Repository Audit Method Based on Risk Assessment DRAMBORA iterative Active Repository Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Update Register for DRAMBORA Logged in Andrew McHugh Test Position at Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Last Login 26 Nov 2008 DRAMBORA Online Tool Assessment Centre Activities A t Home Add Mandate Add Constraints Ad es Rig sessmel d Objective Add Activities and Assets Add Risks Manage Ri activities assets and roles Activities are the practical and tangible things that the repository does in order to achieve its objectives These may be associated with assets that are either required to enable their completion or are generated as an outcome but this is not obligatory Each activity must be have you considered Let me see some generic activities examples corresponding to Mandate amp Com
26. ee Een A P a ara re Para Me a A ae WR Be E mda Ee A Sp T el Mata Tie d Berg is ee ee ee LS AT CA CELA LA 4 4 spa Fridah e d iaa e gef e r er eds AA Pa ka eee fir ee rs a ra ee ca e a ese ee Pee EI bere ien Me LEE e TN E Figure 16 Add Risk page selecting an off the shelf risk Tip When modifying a pre defined risk select the Store Original Management Measures tick box to carry the vulnerabilities and risk consequences across from the template These can then be edited as you require DRAMBORA Interactive User Guide Page 23 of 34 SECTION 4 ASSESSMENT CENTRE B 6 Assess Risks Once you have identified all of your repository s risks the next step is to undertake a risk assessment in order to determine their severity Risk assessment can be done on a selection of risks at a time either by functional class or a custom grouping defined by the user This measurement represents a combination of the risk s frequency and its potential impact Weightings should be applied to each to describe their proportionate scale Impact can be manifested in numerous ways so in order to ensure the comparability of results you should select a risk impact expression descriptor from the drop down list and weight your responses accordingly DRAMBORA iii ero ck te Active Repository Florida Digital Archive at University of Florida Register for DRAMBORA DRAMBORA Online Tool Assessment Centre Ass
27. es or selecting individual risks to display There are also options to order risks alphabetically by name by owner by severity or by date of identification Finally the Advanced Report Builder allows you to output your Risk Report as a Web page DRAMBORA Interactive User Guide Page 26 of 34 SECTION 5 REPORT RESULTS Ma Mirian Mt Cama men oer ae OF J ven Den Beemer Alaro Rapes Rad Ara ria cars rar batida Cia riska CDag zez g eg EHH ere Ee He Zeien Ai A EEN Dolly Demglsg Hirden bk arma de Toga Cil Harta i d a 2 se NEE d Pira 2 e cal Kamienas Hiean a Esaera THERE Stet ji a Deea tajai Ur ar ae e pae GR Seen fa 5 ge prp tat a Deen A nn a e ear Oe soles Pro dirias redes r Ldetinned aebisitten TO eters eter T priced eee of poi porras gefreed ahjentivas ii 2 z pn al 7 daipeasd cesi n ja Selisaed mandala Te pil im ed li e A ea PE PE PE POPE Figure 19 Report Builder page DRAMBORA Interactive User Guide Page 27 of 34 SECTION 6 ADDITIONAL FEATURES ADDITIONAL FEATURES The Save Snapshot feature lets you record the state of the repository at a particular time This enables comparison at a later date and can be used to track improvements or deterioration over time A read only view of the saved responses facilitates analysis of inter relationships between repository information which can be a useful reporting tool in itself You can save a snapshot of the assessment status at
28. ess Risks Logged in Andrew McHugh Assessment Home Add ate A Constraints Add Objectives Add Activities and Assets e wine GE Assess Risks G Manage Risks Update Auditor Business Manager Data Liaison Officer identified risks assess risks at Florida Digital Archive at Risks should be assessed to determine their severity This measurement represents a University of Florida combination of the risk s frequency and its potential impact Weightings should be applied to defined activities Last Login 28 Nov 2008 each to describe their proportionate scale Impact can be manifested in numerous ways so in f order to ensure the comparability of results users should select from the drop down list a risk Ses impact expression descriptor and weight their responses accordingly Hdefined objectives Home S SS Functional Mandate amp Commitment to Digital Object Maintenance Class Organisational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Acquisition amp Ingest Preservation of Digital Object Integrity Authenticity amp v Hdetined mandat Online Help defined constraints User Admin Before the Assessment Assessment Centre Report Results Risk Name Budgetary reduction Latest News Get Expert Help Download Offline Version Submit Feedback assessment progress Description Repository
29. gest Preservation of Digital Object Integrity Authenticity Usabilit Metadata Management amp Audit Trails Dissemination Preservation Planning amp Action Adequate Technical Infrastructure d Link Risk to Don t Link Risk y Save Risk and Add More Save Risk and Proceed DRAMBORA Consortium Sponsors E GF SC Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and BF Bol talk alc oe except where otherwise noted Notices DRAMBORA Interactive User Guide Hsaved snapshots Page 22 of 34 SECTION 4 ASSESSMENT CENTRE ii al mm ch Ley Brake Sas rr E WE g IL ete een eege et aka a A Wee em ee Begni lor DAMA PRA INES Cal lol gt Ase Erre demi bake spa br des A l umiy RS akae anf an ha Y pie etaliod risks Tia dde a be des bh e Sa ST vet Dahe piar dn PLA e ly Men be BE a g eee CAML sae eee Dai pe nee ama mel Ern dee der LE gesetz destinsd mativitina i EL CP AE A ee ee De AO Ad k E r Ehi diiras ita rd ii baten Pamma dali airis 5 I rira HE d Lhi L P enzeg Bink Blet a dei m dee S pd da a Geliand a amara ta gt d Wish Hie Ads AS ARA ee e g e Reg Lea Pee ele eliand waa daa D i AAA Fees ee ee E Mc ral en ee B PEEN ee Ha h Ar A A naa shana bela Li Ft rh i Lana Seen EH FLA Derry r x LS Ti jurar Salar ms i Aras P ent to J bn 8 e E nll la Ip thes P a e n E mee
30. her edits you wish to your repository profile b Add edit details of all of the staff members that you have within your repository c Add edit details the roles that exist within your repository N B this is vital since DRAMBORA Interactive relies on role information to associate risks and responsibilities with particular owners d Associate staff members with specific roles After finalising some details about your repository you are ready to begin the assessment To do so you should visit the Assessment Centre index page This is the Starting point for the assessment a Functional Classes The first item to decide upon is the set of functional classes or information categories that you will use to structure your responses and reporting capabilities within the assessment process This choice is particularly important because it will determine the flexibility that you will subsequently have within the assessment b Mandate The mandate section allows you to express the reason for the repository s existence its formal expression of legitimacy and purpose Multiple mandates can correspond to a single repository relating to the missions and mandates of different levels of the organisational hierarchy within which the repository finds itself c Constraints Constraints are limits that restrict or influence the objectives and activities of the repository These can relate to strategic plans legislation or regulations technical requirements
31. isational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Acquisition amp Ingest Preservation of Digital Object Integrity Authenticity amp Usability Metadata Management amp Audit Trails Dissemination Preservation Planning amp Action Adequate Technical Infrastructure DRAMBORA Users Save Objective and Add More Save Objective and Proceed DRAMBORA Consortium Sponsors Ena GG SC E Es Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notice Figure 13 Add Objectives page For help with defining your organisational objectives see the DPE PLATTER Repository Planning Tool available online at http www digitaloreservationeurope eu publications reports Repository Planning Checklist and Guidance pdf DRAMBORA Interactive User Guide Page 19 of 34 SECTION 4 ASSESSMENT CENTRE B4 Add Activities and Assets Activities are the practical and tangible things that the repository does in order to achieve its objectives These may be associated with assets that are either required to enable their completion or are generated as an outcome but this is not obligatory Each activity must be associated with one or more roles to indicate where responsibility for its completion resides In this stage you will create a selection of corresponding specific repository activities that ar
32. isks Risks describe challenges or threats that impede the achievement of repository objectives obstruct activities and prejudice the continued availability of essential assets The risk identification stage is the most important in DRAMBORA Interactive Clicking Add Risks offers a choice of three ways to attach risks to your repository Creating a new risk from scratch Fig 15 Modifying another risk already attached to your repository Adapting an off the shelf risk Fig 16 Tip To avoid duplicating effort unnecessarily it is recommended that you inspect the list of pre defined lists before creating new risks from scratch Each risk must be given a name You can also describe Vulnerabilities Consequences Avoidance strategies Treatment strategies Causal relationships it may have with other risks Notes on the nature of the risk itself DRAMBORA Interactive User Guide Page 21 of 34 Register for DRAMBORA Logged in Andrew McHugh e Test Position at Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Last Login 26 Nov 2008 Log Out Home Online Help Before the Assessment Assessment Centre Report Results Latest News Get Expert Help Download Offline Version Submit Feedback The DRAMBORA Team DRAMBORA Users Figure 15 Add Risk page creating a new risk from scratch SECTION 4 ASSESSMENT CENTRE DRAMBORA mteractive Digital
33. mitment y Go associated with one or more roles to indicate where responsibility for its completion resides Activity Log L ut Home identified risks Name Online Help Activity Ee Desch defined activities Before the Assessment Assessment Centre defined objectives Report Results Latest News defined constraints Get Expert Help Activity Download Offline Role s Version defined mandate Submit Feedback DRAMBORA Training assessment progress About Related Asset s Objectives saved snapshots Benefits The DRAMBORA Team Dissemination i i Ne t DRAMBORA Users Related Objective s Functional Mandate amp Commitment to Digital Object Maintenance Class es Organisational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Acquisition amp Ingest Preservation of Digital Object Integrity Authenticity amp Usability Metadata Management amp Audit Trails Dissemination Preservation Planning amp Action Adequate Technical Infrastructure Save Activity and Add More Save Activity and Proceed DRAMBORA Consortium Sponsors HE ISCO Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notice Figure 14 Add Activities and Assets page DRAMBORA Interactive User Guide Page 20 of 34 SECTION 4 ASSESSMENT CENTRE B5 Add R
34. n Within DRAMBORA digital curation is characterised as a risk management activity the job of a digital curator is to rationalise the uncertainties and threats that inhibit efforts to maintain digital object authenticity and understandability transforming them into manageable risks Six stages are implicit within the process Initial stages require auditors to develop an organisational profile describing and documenting the repository s mandate objectives activities and assets Latterly risks are derived from each of these and assessed in terms of their likelihood and potential impact Finally auditors are encouraged to conceive of appropriate risk management responses to the identified risk The process enables effective resource allocation enabling repository administrators to identify and categorise the areas where shortcomings are most evident or have the greatest potential for disruption The process itself is an iterative one and therefore subsequent recursions will evaluate the effectiveness of prior risk management implementations DRAMBORA Interactive is an on line tool built to facilitate the assessment process and guide the auditor through the stages of the methodology DRAMBORA can be used at http www repositoryaudit eu DRAMBORA Interactive User Guide Page 4 of 34 SECTION 1 INTRODUCTION The DRAMBORA Workflow The DRAMBORA workflow is structured in 10 steps Figure 1 Define Audit Purpose amp Scope
35. o exist in a vacuum multiple mandates can be described corresponding to different hierarchical levels within which the repository exists e g you may have separate but hopefully compatible mandates associated with repository departmental and organisational levels Click Add Mandate and enter the details then describe the scope to which this particular mandate applies Fig 11 If you need to add additional mandates e g to represent an organisational hierarchy then this can be done by reselecting the Add Mandate link The mandates you have entered can be viewed by expanding the defined mandates box at the right of the screen You can edit or delete these sections inline using this view DRAMBORA iterare Sed on risk assessment Active Repository Florida Digital Archive at University of Florida Update Register for DRAMBORA DRAMBORA Online Tool Assessment Centre Organisational Mandate Logged in Andrew McHugh Assessment Home Add Mandate Add Constraints Add Objectives id Activitie and A et 1dd Risi e Risk Manage Ris Auditor Business Manager e Data Liaimon Officer 1andate 32 have you considered at Florida eat at The mandate describes the repository s mission or reason for existence This is the general Let me see some generic mandate examples University of Florida statement that legitimises the repository and broadly describes its objectives Because Go Last Login 28 Nov 2008 re
36. of likelihood and impact scores Risk avoidance A decision not to become involved in or to withdraw from a risk situation ISO IEC Guide 73 2002 Risk communication Exchange or sharing of information about risk between the decision maker and other stakeholders ISO IEC Guide 73 2002 Risk identification Process of identifying risks considering business objectives activities and assets and their threats and vulnerabilities as the basis for further analysis Risk management Coordinated activities to direct and control an organisation with regard to risk ISO IEC Guide 73 2002 Vulnerability Weakness of an asset or group of assets that can be exploited by one or more threats ISO IEC 13335 1 DRAMBORA Interactive User Guide Page 30 of 34 SECTION 7 APPENDICES APPENDIX 2 QUICKSTART GUIDE 1 When logged in a box in the top right of the screen displays the name of your registered active repository Your currently active repository will always be displayed in this section of the screen You may register as a staff member at as many repositories as you wish but if doing so you should ensure that the correct repository is currently active The first thing you should do after registering a new repository Is to visit the Assessment Preparation centre in order to add some important details about your repository From this part of DRAMBORA interactive you should complete the following simple stages a Make any furt
37. ory characteristics you can click on the Edit Repository link to do so Fig 4 Otherwise click on the link to Define Assessment Scope AA AAA NA Ferien i Pate F E Dn fp ee fess fe mee Le lanar AN p upie Bape p rre ef BARI Cad food Pap CAE Dar Era Figure 4 Edit Repository page DRAMBORA Interactive User Guide Page 9 of 34 SECTION 4 ASSESSMENT CENTRE A2 Define Assessment Scope The assessment should firstly be defined in terms of its chronological relationship with the repository ls the assessment taking place before the repository is active or does it take a retrospective look at efforts already underway Read the text and select the type of audit you want to undertake e g validatory and describe the extent of the assessment planned for the repository Fig 5 Try to be explicit about which individual organisational units are being assessed and which are beyond the scope of this analysis Tip Click on the link at the foot of this screen to view some sample documentation types that may usefully contribute to your audit The list is also included in this document at Appendix 3 A A A A Tas jgecken PEE eer bees fee mees DRAMBORA m a AA dation kapaki Peras ogee Eeghen p rarna oF Feria El lip CAARITEHEA Cal fond Pap eee li AAA erie pl Es obs E hd u Ve La CSR HE ida adi a al Morada Teed Bape a EN IT F Kb mj rh Sar AE RAR E SE Gel Soot Watedalerp
38. ou choose to move between sections You ll notice that the boxes in the right hand column have plus signs next to them Clicking these allows the boxes to be expanded thereby increasing the amount of information available on the screen at any time Expanding the sections also allows you to edit inline If you find your screen becoming cluttered with the amount of information on it you can collapse these sections by clicking on the minus signs Tip DRAMBORA Interactive also has a Save Snapshot function which enables you to compare your repository at different stages in its development More on this feature later DRAMBORA Interactive User Guide Page 8 of 34 SECTION 4 ASSESSMENT CENTRE A BEFORE THE ASSESSMENT First click on the left hand menu link Before the Assessment in order to submit some details about your repository The most important initial steps before the assessment of your repository are to Al Refine the repository characteristics A2 Make explicit the audit scope and purpose A3 Determine the structure for the audit managing the functional classes A4 Define staff Ad Allocate roles accordingly A6 User administration These details can be updated at any time but it is worth spending some effort before your assessment in order to get a reasonably full set of responses Let s see the steps in details A1 Edit Repository defining the scope of your audit lf you have any changes to make to the reposit
39. positories are unlikely to exist in a vacuum multiple mandates can be described corresponding to different hierarchical levels within which the repository exists e g you may have separate but hopefully compatible mandates associated with repository departmental Log Out Home and organisational levels Applies To identified risks Online Help defined activities User Admin Mandate Before the Assessment defined objectives Assessment Centre Report Results Latest News Get Expert Help defined constraints Download Offline Version Submit Feedback defined mandate assessment progress DRAMBORA Training About E saved snapshots Objectives Benefits The DRAMBORA Team Dissemination DRAMBORA Users Save Mandate and Continue DRAMBORA Consortium Sponsors HE JISC O SE Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notices Figure 11 Organisational mandate page DRAMBORA Interactive User Guide Page 17 of 34 SECTION 4 ASSESSMENT CENTRE B2 Add Constraints Repository constraints take many forms and can be succinctly described as any factor that compels or influences the repository to operate in a particular fashion These can originate externally e g legislation prohibiting release of particularly materials or internally e g policies descri
40. s section you can assign roles to individual staff members by following the Role Assignment link Once this is done click Assessment Centre in the left hand navigation column to begin the audit 1 RL Cir Dl rep Er d E E Mar gt Hari Fred Be a I E pm pes tar pa Tag es a Jet A iie Pes Cal loa Prp Ceoaire i gr bole LSA ee ee eee EER eee lt lt lt Figure 8 Edit Role page DRAMBORA Interactive User Guide Page 13 of 34 SECTION 4 ASSESSMENT CENTRE DRAMBORA teaca caen me Assessment Active Repository Florida Digital Archive at University of Florida Register for DRAMBORA DRAMBORA Online Tool Prep Centre Assign Roles Logged in Andrew McHugh Prep Home Edit Repository Define Assessment Scope Manage Functional Classes Add Staff Edit Staff Add Role Edit Role Role Assignment Auditor Business Manager e Data Liaison Officer preparation centre assign roles identified risks Ate f Ne Interactive Flat at Florida Digital Archive at From this part of the DRAMBORA tool you can associate predefined staff members with University of Florida individual roles e Budgetary reduction Repository s Last Login 28 Nov 2008 operational budget is reduced e Perhaps obviously individual staff members can contribute to the performance of multiple roles Log Out A software specialist for example may contribute to ingestion preservation and dissemination of content
41. set Anything that has value to the organisation ISO IEC 13335 1 2004 Digital repository An organisation or organisational unit that has responsibility for the long term maintenance of authentic and understandable digital resources A digital repository is expected to adhere to the following ten criteria 1 Commits to continuing maintenance of digital objects for its identified community or communities 11 Demonstrates organisational fitness including financial staffing structure processes to fulfil its commitment UN Acquires and maintains requisite contractual and legal rights and fulfils responsibilities iv Has effective and efficient policy framework v Acquires and ingests digital objects based upon stated criteria that correspond to its commitments and capabilities vi Maintains ensures the integrity authenticity and usability of digital objects it holds over time vil Creates and maintains requisite metadata about actions taken on digital objects during preservation as well as about the relevant production access support and usage process contexts before preservation vill Fulfils requisite dissemination requirements iX Has strategic programme for preservation planning and action X Has technical infrastructure adequate for continuing maintenance and security of digital objects DRAMBORA Interactive does not pre suppose any specific type of digital resources or the repository having any particular t
42. sment defined results as comparable and interchangeable as possible with these alternative assessment activities Last Login 28 Nov 2008 Home Online Help User Admin Before the Assessment Assessment Centre Report Results Latest News Get Expert Help Download Offline Version Submit Feedbacl DRAMBORA Training About Objectives Benefits The DRAMBORA Team Dissemination DRAMBORA Users instruments While you may choose to create your own alternative or supplementary functional classes this is discouraged Built in Functional Classes Ctrl click to select multiple values or recommended Support Mandate amp Commitment to Digital Object Maintenance Functions Organisational Fitness Legal amp Regulatory Legitimacy Efficient amp Effective Policies Adequate Technical Infrastructure Operational Acquisition Ingest Functions Preservation of Digital Object Integrity Authenticity amp Usability Metadata Management amp Audit Trails Dissemination Preservation Planning amp Action User Contributed Functional Classes lass discouraged Save Functional Classes and Continue DRAMBORA Consortium Sponsors HE ver lz e Date Published 1 February 2008 Last Modified 1 February 2008 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Not Figure 6 Define Functional Classes page DRAMBORA Interactive User Guide
43. ts 8 Digital Curation Centre and DigitalPreservationEurope except where otherwise noted Notices Figure 12 Add Constraints page User Guide Page 18 of 34 SECTION 4 ASSESSMENT CENTRE B3 Add Objectives Objectives are measurable strategic aims of the repository and can correspond with any of its business areas These are the outcomes that the repository pursues and can be contrasted with the specific strategies employed to facilitate their achievement called activities within DRAMBORA Adding a quantitative dimension to each objective will facilitate its measurement and the subsequent identification of risks Define each of your repository s objectives by clicking Add Objectives Fig 13 You should aim to come up with a number of objectives corresponding to a variety of functional classes You can associate these with constraints defined in the previous stage Ideally your objectives will have a degree of measurability Digital Repository Audit Method Based on Risk Assessment DRAMBORA interactive Meis Active Repository Repository at The Royal Commission on Ancient and Historical Testaments in Scotland Update Register for DRAMBORA Logged in Andrew McHugh Assessment Home Add Mandate Add Con Add Acti ties and Asset DRAMBORA Online Tool Assessment Centre Organisational Objectives traints Add Objectives Add Risks Assess Risks Manage Risks e Test Position
44. umentation procedural manuals and system work flows e Documents describing the technical architecture in place e Results of any other relevant audits organisational assessments or self assessments e Documentation describing the institutional spacing within which the repository fits including details of its mandate funding cycle and the commitment of or dependency upon its parent organisation A specific list of policies that ought to be documented within a trustworthy digital repository is provided in Appendix 3 of the Trustworthy Repositories Audit and Certification Criteria and Checklist Document TRAC The number adjacent to each indicates the corresponding metric within this check list Each of these where available would be of considerable interest during the assessment It s been our experience that one of the useful things about this process is identifying where gaps exist in documentation and it s therefore worthwhile to note down not only the documents that you do have available A1 2 Contingency plans succession plans escrow arrangements as appropriate A3 1 Definition of designated community ies and policy relating to service levels A3 3 Policies relating to legal permissions A3 5 Policies and procedures relating to feedback A4 3 Financial procedures A5 5 Policies procedures relating to challenges to rights only if likely to be needed B1 Procedures related to ingest B2 10 Process for testing understandability
45. ype of organisational structure the risk based self assessment will be undertaken within the confines of the mandate of the repository whether it be an archive digital library data archive or e Science collection Likelihood Used as a general description of probability or frequency AS NZS 4360 2004 Mandate Legal basis or a formally expressed intention issued by an organisation or its parent to achieve a particular goal or goals Objectives General and continuing and specific time bound statements of intended future results Organisation s objectives often identify broad functional areas and descriptions of major programmes and their budgets Objectives are usually revised every three to five years Core Requirements for Digital Archives Center for Research Libraries CRL 2007 Source http www crl edu content asp 11 138 amp 12 58813 1628 amp 14 92 DRAMBORA Interactive User Guide Page 29 of 34 SECTION 7 APPENDICES Owner An individual or entity that has approved management responsibility for controlling the production development maintenance use and security of the repository s assets ISO 27001 2005 Risk Risk refers to uncertainty that surrounds future events and outcomes lt is the expression of the likelinood and impact of an event with the potential to influence the achievement of an organisation s objectives Risk assessment Systematic process of estimating the magnitude of risks as a combination
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