PD:CCSDS 652.0-M-1 audit template

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This is an empty template to do an audit according to CCSDS 652.0-M-1 the chapter structure is identical to the original so chapter numbering is consistent. Each title in this template is linked to the according title in the original text, to have fast access to the relevant information needed to answer the criterions.

Date of audit report: <insert date>

Version of audit report: 1.0

This audit was done according to the recommended practice 652.0-M-1 AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES from 2011 published by the Consultative Committee for Space Data Systems (CCSDS). The same committee that published the Reference Model for an Open Archival Information System (OAIS).

<insert introduction>

This audit documentation is structured in a similar way as the CCSDS 652.0-M-1 Recommended Practice document:

introduction
overview of audit and certification criteria
conclusion
catalog of requirements

1 OVERVIEW OF AUDIT AND CERTIFICATION CRITERIA
2 CONCLUSION AND FIELDS OF NON CONFORMANCE
3 ORGANIZATIONAL INFRASTRUCTURE
4 DIGITAL OBJECT MANAGEMENT
5 INFRASTRUCTURE AND SECURITY RISK MANAGEMENT
- 5.1 TECHNICAL INFRASTRUCTURE RISK MANAGEMENT
  - 5.1.1 The repository shall identify and manage the risks to its preservation operations and goals associated with system infrastructure.
  - 5.1.2 The repository shall manage the number and location of copies of all digital objects.
    - 5.1.2.1 The repository shall have mechanisms in place to ensure any/multiple copies of digital objects are synchronized.
- 5.2 SECURITY RISK MANAGEMENT

OVERVIEW OF AUDIT AND CERTIFICATION CRITERIA

A TRUSTWORTHY DIGITAL REPOSITORY

Definition of a trustworthy digital repository as given in the CCSDS 652.0-M-1 Recommended Practice document:

A trustworthy digital repository will understand threats to and risks within its systems. Constant monitoring, planning, and maintenance, as well as conscious actions and strategy implementation will be required of repositories to carry out their mission of digital preservation. All of these present an expensive, complex undertaking that depositors, stakeholders, funders, the Designated Community, and other digital repositories will need to rely on in the greater collaborative digital preservation environment that is required to preserve the vast amounts of digital information generated now and into the future.

DEFINITIONS

Each requirement is marked with a color, to show its status of fulfillment:

Requirements fulfilled
Minor requirements are not fulfilled
Essential requirements not fulfilled

These definitions from the original audit document all apply to this internal audit:

For a better understanding some paragraphs of the CCSDS 652.0-M-1 Recommended Practice are reproduced here.

CONFORMANCE

Original text: An archive that conforms to this Recommended Practice shall have satisfied the auditor on each of the requirements.

EVIDENCE

Each metric in the Recommended Practice has associated with it informative text under the heading Examples of Ways the Repository Can Demonstrate It Is Meeting This Requirement providing examples of the evidence which might be examined to test whether the repository satisfies the metric. These examples are illustrative rather than prescriptive, and the lists of possible evidence are not exhaustive.

NOMENCLATURE

The following conventions apply for the normative specifications in this Recommended Practice:

a) the words ‘shall’ and ‘must’ imply a binding and verifiable specification;

b) the word ‘should’ implies an optional, but desirable, specification;

c) the word ‘may’ implies an optional specification;

d) the words ‘is’, ‘are’, and ‘will’ imply statements of fact.

ACRONYMS AND ABBREVIATIONS

AIP	Archival Information Package (defined in reference [1])
CCSDS	Consultative Committee for Space Data Systems
DEDSL	Data Entity Specification Language
DIP	Dissemination Information Package (defined in reference [1])
FITS	Flexible Image Transport System
GIS	Geographic Information System
ISO	International Organization for Standardization
OAIS	Open Archival Information System (see reference [1])
PDI	Preservation Description Information (defined in reference [1])
SIP	Submission Information Package (defined in reference [1])
TEI	Text Encoding Initiative
UML	Unified Modeling Language
XML	Extensible Markup Language

REFERENCES

[1] Reference Model for an Open Archival Information System (OAIS).

For convenience the full text of the recommended practice CCSDS 652.0-M-1 AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES is readable on this wiki page: PD:CCSDS_652.0-M-1. Every requirement is directly linked to the corresponding explanation in the CCSDS 652.0-M-1 Recommended Practice.

The original document is published on the CCSDS Website: CCSDS Recommended Practices (Magenta Books)

CONCLUSION AND FIELDS OF NON CONFORMANCE

OVERVIEW

Of the 108 normative metrics the final status is the following:

Metrics with all requirements fulfilled: XX
Metrics where Some requirements are not fulfilled: XX
Metrics with essential requirements not fulfilled: XX

FIELDS OF NON CONFORMANCE

CONCLUSION

ORGANIZATIONAL INFRASTRUCTURE

With this chapter the catalog of requirements starts. Every requirement is explained in the CCSDS 652.0-M-1 document, this explanation can be reached directly by clicking on the heading of the requirement.