Co eT us Seal T us wo hy Digi al Reposi o ies
Requi emen s 2026-2028
Ex ended Guidance
V01.00
Co eT us Seal-Requi emen s-2026-2028_ 01.00
h ps://doi.o g/10.5281/zenodo.17659852
Table o Con en s
In oduc ion 3
Co eT us Seal Resou ces 4
Backg ound & Gene al Guidance 5
Compliance Le els 5
Suppo ing E idence Links and Missing In o ma ion/E idence 5
In e nal In o ma ion, Sensi i e In o ma ion & Confiden iali y 6
Use o English, and non-English Language Documen a ion 6
Ce ifica ion Validi y & Renewal 7
Applica ion s uc u e and leng h 7
Requi emen s 8
R0. Backg ound In o ma ion & Con ex 8
O ganisa ional In as uc u e 14
Mission & Scope (R01) 14
Righ s Managemen (R02) 14
Con inui y o Se ice (R03) 16
Legal & E hical (R04) 17
Go e nance & Resou ces (R05) 18
Expe ise & Guidance (R06) 19
Digi al Objec Managemen 21
P o enance and au hen ici y (R07) 21
Deposi , App aisal & Accessibili y (R08) 22
P ese a ion plan (R09) 23
Quali y Assu ance (R10) 24
Wo kflows (R11) 25
Disco e y and Iden ifica ion (R12) 26
Reuse (R13) 27
In o ma ion Technology & Secu i y 29
S o age & In eg i y (R14) 29
Technical In as uc u e (R15) 30
Secu i y (R16) 31
Applican Feedback 32
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In oduc ion
The Co eT us Seal S anda ds and Ce ifica ion Boa d1, d awn om he Co eT us Seal
Communi y o Re iewe s2 manages he pe iodic e ision o he Co eT us Seal T us wo hy
Reposi o y Requi emen s, he pee e iew p ocess and he final app o al o ce ifica ions. I
also seeks o con ibu e o and align wi h o he o ganisa ions, s anda ds and p ac ices ac oss
he da a managemen li ecycle.
An applican o Co eT us Seal mus offe a long e m p ese a ion se ice. Some pa s o he
collec ion may ha e lowe le els o ca e bu his mus be made clea in he ex . Once
assigned each e iewe will b iefly check:
● The defini ion o he designa ed communi y o see whe he i is clea enough.
● The p ese a ion plan o ensu e ha ac i e p ese a ion is in place.
● The inges & app aisal o confi m ha digi al objec s ecei e ac i e p ese a ion.
● The euse o confi m ha he ou comes o cu a ion a e aligned wi h he needs o he
designa ed communi y.
I i is no clea ha he applican offe s ac i e p ese a ion, o i is no clea wha o he le els
o cu a ion a e offe ed, o i is no clea ha he designa ed communi y as defined is well
se ed by he in o ma ion in Reuse, hen he applican is ei he no in scope, o has p o ided
insufficien in o ma ion o a e iew o ake place. The FAQ “Who can apply o Co eT us Seal”
p esen ed on he websi e offe s mo e de ail on which applican s a e conside ed in scope3.
In his case he e iew will be e u ned o he applican wi h commen s on he ele an i ems
o e ision. These changes may imply o he changes o he applica ion a he applican s’
disc e ion.
Applica ions unde e iew a e confiden ial o Co eT us Seal e iewe s and he Boa d, bu
success ul applica ions a e made publicly a ailable. Applican s should he e o e keep all o
hese audiences in mind.
Success ul applican s can pu s aff membe s o wa d o become membe s o he communi y
o e iewe s. Membe s o his pee - e iew pool a e eligible o Boa d membe ship.
In addi ion o he ull Co eT us Seal Requi emen s ex , which emains s able o he pe iod
2026-2028, his documen p o ides he Ex ended Guidance o Co eT us Seal e iewe s and
applican s. Ex ended Guidance ex is p esen ed wi hin a bo de and in blue. This ex may be
upda ed du ing he 2026-2028 pe iod.
3 h ps://www.co e us seal.o g/why-ce ifica ion/ equen ly-asked-ques ions/
2 h ps://www.co e us seal.o g/abou /assembly-o - e iewe s
1 h ps://www.co e us seal.o g/abou /s anda ds-and-ce ifica ion-boa d/
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Co eT us Seal Resou ces
h ps://www.co e us seal.o g/apply/
h ps://www.co e us seal.o g/why-ce ifica ion/ equen ly-asked-ques ions/
Co eT us Seal Requi emen s 01.00 2026-2028
(h ps://doi.o g/10.5281/zenodo.17660462)
The ull no ma i e Co eT us Seal Requi emen s and Guidance. S able o he pe iod
2026-2028.
Co eT us Seal Ex ended Guidance 01.00 2026-2028
(h ps://doi.o g/10.5281/zenodo.17659852)
The ull Co eT us Seal Requi emen s ex wi h ex ended guidance including commen s
and discussion. May be pe iodically upda ed du ing he pe iod 2026-2028.
Co eT us Seal Glossa y 01.00 2023-2025
(h ps://doi.o g/10.5281/zenodo.17660009)
Defini ions o key e ms used in he Co eT us Seal Requi emen s.
Co eT us Seal Cu a ion & P ese a ion Le els 03.00 2024
(h ps://doi.o g/10.5281/zenodo.6908018)
The Co eT us Seal Boa d-app o ed posi ion pape desc ibing he deg ee o ca e a
digi al objec ecei es and which ac o s ake esponsibili y o ha ca e.
A numbe o he concep s and e ms used in Co eT us Seal a e in o med by he OAIS
Re e ence Model4. Applican s a e encou aged o amilia ise hemsel es wi h his s anda d.
This e sion o he equi emen s has been deemed compa ible wi h he e sion 3 o OAIS.
4Consul a i e Commi ee o Space Da a Sys ems (Decembe 2024). Re e ence Model o an Open
A chi al In o ma ion Sys em (OAIS). Recommended P ac ice, issue 2, CCSDS 650.0-M-3. NASA.
h ps://ccsds.o g/publica ions/magen abooks/en y/3054/
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Backg ound & Gene al Guidance
The Co eT us Seal Requi emen s desc ibe he cha ac e is ics equi ed o be a us wo hy
eposi o y o digi al da a and me ada a. Each Requi emen is accompanied by Guidance ex
desc ibing he esponse s a emen s and e idence ha applican s mus p o ide o enable an
objec i e e iew. Applican s mus espond o all o he Requi emen s.
Compliance Le els
The applican mus indica e a compliance le el o each o he Requi emen s:
● In P og ess: he eposi o y is in he implemen a ion phase.
● Implemen ed: he equi emen has been ully implemen ed by he eposi o y.
Compliance le els a e an indica o o he applican 's sel -assessed p og ess, bu e iewe s
judge compliance agains esponse s a emen s and suppo ing e idence.
A e iewe may educe a compliance le el o ‘in p og ess’ and p o ide an explana ion o he
applican in eedback. All equi emen s assessed as ‘in p og ess' mus be suppo ed by a
s a emen om he applican abou he ac ions and imescales planned o each
‘implemen ed’. A e iewe will no inc ease a sel -assessed ‘in p og ess’ compliance le el o
‘implemen ed’. Ce ifica ion may be g an ed i some equi emen s a e ‘in p og ess’. When
Co eT us Seal is enewed, e iewe s will expec o see a mo e om 'in p og ess' o
'implemen ed' o clea explana ions as o when his is o eseen o why his is no possible.
Du ing a enewal p ocess an applican may educe a sel -assessed compliance le el om
‘implemen ed’ o ‘in p og ess’, e.g. i a significan upg ade is in place ha has a empo a y
impac on he se ice. This le el o anspa ency is highly desi able and, wi h sufficien
explana ion, should no be a ba ie o enewing ce ifica ion.
The e is no o mally applied maximum numbe o ‘in p og ess’ compliance le els ha would
s op an applica ion om being success ul. This will depend on he indi idual eposi o y and
he imescales and planning in o ma ion p o ided o implemen a ion. Re iewe s will pay
pa icula a en ion i a eposi o y app oach o con inui y o se ice (R03) o ac i e
p ese a ion planning (R09) is ‘in p og ess’.
Suppo ing E idence Links and Missing In o ma ion/E idence
Response s a emen s p o ided by applican s mus be suppo ed by links o public e idence
online. Final e sions o success ul applica ions a e public documen s. This le el o
anspa ency is impo an , as he ce ifica ion p ocess does no include a si e isi by an
audi o . Links should be e ified immedia ely be o e submi ing applica ions.
Those eading applica ions (Re iewe s, and e en ually he public) should be able o
unde s and he esponse s a emen s wi hou de ailed eading o linked e idence. When
longe documen s a e p esen ed as e idence, o he same e idence is used o suppo mo e
han one Requi emen , he applican mus e e specifically o which sec ions a e ele an and
quo e/summa ise he in o ma ion in hei esponse.
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The Co eT us Seal ce ifica ion p ocess depends on applican esponses suppo ed by clea
e idence. The quali y o public suppo ing e idence is expec ed o inc ease o e ime.
Applica ions canno be assessed i in o ma ion is missing, insufficien , o unclea .
P io knowledge o a eposi o y by he e iewe mus no play a ole when assessing he
applica ions. The final, public e idence s a emen mus also be clea o pee eposi o ies o
unde s and.
A e iewe is no expec ed o sea ch h ough he applican ’s websi e o e idence. Applican s
mus p o ide specific e e ences, including quo es/summa ies o he ci ed in o ma ion. The
applica ion will be e u ned wi h an explana ion i he in o ma ion p o ided is insufficien o
he e iewe o each a decision and assign a compliance le el.
Fo e idence p o ided by a pa y o he han he applican , he ela ionship wi h ha pa y
should be desc ibed, see Coope a ion and ou sou cing o hi d pa ies, pa ne s and hos
o ganisa ions.
In e nal In o ma ion, Sensi i e In o ma ion & Confiden iali y
No sensi i e in o ma ion disclosu e is equi ed o acqui e Co eT us Seal. I e idence canno
be made public i is possible o sha e his confiden ially du ing he ce ifica ion p ocess.
Co eT us Seal ce ifica ion does no equi e suppo ing e idence o be made public ha is
confiden ial, comme cially sensi i e, o poses a secu i y isk. Applican s may ha e in e nal
business in o ma ion ha con ains bo h sensi i e in o ma ion and ele an e idence o he
Co eT us Seal. Such e idence can be submi ed confiden ially o he e iewe s5 and he
documen s named and desc ibed in he applica ion. O e ime, applican s should sepa a e
ele an e idence om confiden ial ma e ials, and assu e a public e sion is made a ailable
o he nex e iew.
I documen a ion does no ye exis , is in p og ess, o is cu en ly o in e nal use only, hen a
da e o public a ailabili y should be s a ed in he applica ion. Ce ifica ion may be app o ed
based on hese assu ances. Applican s a e expec ed o p o ide he public documen a ion
when hey enew hei ce ifica ion.
Use o English, and non-English Language Documen a ion
All esponses mus be in English. I links o non-English e idence a e p o ided, hen an English
summa y mus be included in he esponse s a emen . This summa y can be b ie o ce ain
ypes o documen s (e.g. a e e ence o a lis o p e e ed o ma s), bu should be longe o
o he s (e.g. a P ese a ion Policy documen ).
Full English ansla ions o linked e idence a e no equi ed.
5 Con ac he Co eT us Seal Sec e a ia ia in o@co e us seal.o g
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Ce ifica ion Validi y & Renewal
Co eT us Seal ce ifica ion is alid o h ee yea s om he da e o ce ifica ion. An
o ganisa ion wi h well-managed business p ocesses and eco ds should be able o eapply
wi h minimal e isions. Mo e significan e isions may be equi ed i :
● The o ganisa ion, i s da a collec ion, echnical in as uc u e o Designa ed Communi y
changes significan ly
● The Co eT us Seal Requi emen s a e upda ed in ways ha impac he applican
The Co eT us Seal Requi emen s a e subjec o e iew and e ision e e y h ee yea s. This
does no affec a success ul applican un il hey seek enewal.
Applica ion s uc u e and leng h
I is no possible o co e e e y possible eposi o y scena io in he Guidance o Ex ended
Guidance and some guidance o ques ions may no be locally applicable. Applican esponses
should e e o he issues aised in he Guidance ex and p o ide esponses based on hei
local con ex . Final e alua ion o a Requi emen depends on he comple eness and quali y o
he esponse. Re iewe s a e looking o clea , open s a emen s o e idence specific o he
applican . I is unde s ood ha he leng h o esponse s a emen s will a y, bu he o e all
applica ion should p o ide a ocussed na a i e desc ibing he suppo ing e idence.
Applica ions should no espond o each i em o guidance in a ques ion-and-answe o ma .
Applica ions should include p ose esponses o each Requi emen , inco po a ing ele an
elemen s o he Guidance and Ex ended Guidance p o ided.
Re iewe s unde s and ha applican s’ o ganiza ional s uc u es, missions, size and digi al
objec collec ions a y widely. E en he Ex ended Guidance canno co e e e y opic and
e idence ype ha could be ele an o he applica ion. Some addi ional ex may be needed
o explain he ele ance o e idence p o ided; especially, i no a ailable in English. No
minimum o maximum leng hs o esponses a e defined, bu e en he mos complex
e idence s a emen s a e usually a he lowe end o he 500–800 wo d ange. E idence
s a emen s should be suppo ed by public links o he documen a ion he applican uses o
manage hei o ganiza ion and digi al objec s. I is his public e idence ha offe s he mos
assu ance o compliance wi h he Requi emen s.
The Co eT us Seal Requi emen s seek o minimise epe i ion and o e lap, bu some
applican s may submi he same e idence o mo e han one equi emen . Applican s should
no need o epea long po ions o ex in diffe en Requi emen esponses. In cases whe e
e idence is applicable o mo e han one Requi emen , a sho summa y s a emen o he
ele an in o ma ion can be p o ided wi h a e e ence o he Requi emen ha con ains
u he de ails.
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Requi emen s
R0. Backg ound In o ma ion & Con ex
This sec ion p o ides he in o ma ion necessa y o e iewe s o ully assess he applican s
esponse s a emen s. I is impo an o he en i e applica ion ha he co ec op ions a e
selec ed and ha sufficien ly de ailed esponses a e p o ided.
(1) Re3da a Iden ifie 6.
Response
(2) Reposi o y ype. Selec a eposi o y ype:
- Gene alis eposi o y
- Specialis eposi o y
- Specialis eposi o ies a e asked o p o ide hei domain(s) and/o discipline(s).
Response
As s a ed in he glossa y ( e ), a specialis eposi o y is a domain o subjec -based eposi o y
which specializes in a specific ( esea ch) field o da a ype, and suppo s ha defined
designa ed communi y. A gene alis eposi o y does no specialise in a domain, discipline,
specific ( esea ch) field o da a ype and suppo s a defined designa ed communi y.
(3) O e iew. P o ide a sho o e iew o key cha ac e is ics o he eposi o y, eflec ing he
eposi o y ype selec ed. This should include in o ma ion abou he scope and size o da a
collec ions, da a ypes and o ma s. Fu he con ex ual in o ma ion may also be added.
The o e iew should include con ex ual in o ma ion ha is no co e ed elsewhe e in he
Requi emen s.
Response
(4) Designa ed Communi y. A clea defini ion o he Designa ed Communi y demons a es
ha he applican unde s ands he scope, knowledge base, and me hodologies—including
p e e ed so wa e/ o ma s—o he g oup(s) o use s a whom he cu a ion and p ese a ion
measu es a e p ima ily a ge ed. The defini ion should be specific so ha e iewe s can
assess whe he ha communi y is being se ed in he esponses o o he equi emen s.
As s a ed in he defini ion (see Glossa y), i is possible o a eposi o y o ha e a Designa ed
Communi y composed o diffe en ‘sub-communi ies’; o example, o diffe en collec ions. I
his is he case, he applican should p o ide a defini ion and sufficien ly de ailed desc ip ion
o each o hese sub-communi ies. I is impo an o no e ha he Designa ed Communi y
may be smalle han he o e all g oup o consume s o he eposi o y da a, me ada a and
se ices. The digi al collec ions o a na u al his o y museum may be appealing o a wide g oup
6 h ps://www. e3da a.o g/
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o in e es ed use s, including he gene al public. Ne e heless, he museum may define i s
Designa ed Communi y as na owe han his (e.g., biologis s and an h opologis s esea ching
opics om he field o na u al his o y).
A eposi o y mus ha e an unde s anding o he Designa ed Communi y’s composi ion, skills,
knowledge base, and needs, and how hese may ans o m o e ime. This includes an
unde s anding o ypical e-use scena ios and pu poses, whe he hey a e as gene al as “Read
online publica ions on a compu e o lea n mo e abou he his o y o X” o as specific as “Run
s a is ical analyses using SPSS”. Th oughou he applica ion, e idence should demons a e an
unde s anding o wha he cu a ion and p ese a ion ac ions (addi ional con ex , p e e ed
o ma s, e c.) will bes se e he Designa ed Communi y (including espec i e
sub-communi ies, i applicable). I should also be clea how he applican moni o s and
esponds o changes in he needs o he Designa ed Communi y.
A eposi o y wi h a highly specific, na ow Designa ed Communi y migh easily s a e he
expec ed knowledge base (e.g., he deg ee o unde s anding o gene ics, o he le el o
expe ise in using s a is ical so wa e). In con as , a b oad Designa ed Communi y (i.e.
composed o mul iple use communi ies) means ha he eposi o y should ha e a sufficien
unde s anding o all hei knowledge bases and offe a wide ange o con ex ual
documen a ion o ensu e i s da a can be unde s ood by e e yone wi hin he Designa ed
Communi y. Wi h ega d o defining he Designa ed Communi y’s knowledge base, applican s
should explici ly s a e any aci assump ions, such as ( o eign) language skills, abili y o access
specific Ope a ing Sys ems o In e ne b owse s, use ce ain so wa e, and so on.
Response
(5) Le els o Cu a ion and P ese a ion.
Selec all ele an ypes om:
Z. Le el Ze o. Con en dis ibu ed as deposi ed. Una ended
deposi -s o age-access.
D. Deposi Compliance
C. Ini ial Cu a ion
A. Ac i e p ese a ion
Response
Guidance
A eposi o y mus demons a e ha i assu es long- e m accessibili y and unde s andabili y o
da a as he needs o he Designa ed Communi y change. Applying he app op ia e le els o
ca e o digi al objec s maximises he e u n on in es men in da a asse s o e ime. Success ul
cu a ion and long- e m p ese a ion ac i i ies depend on a eposi o y ha ing he igh s and
aking he esponsibili y o p o ide an effec i e o ganisa ional in as uc u e, digi al objec
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Con inui y o Se ice (R03)
R03. The Reposi o y has a plan o ensu e ongoing access o and p ese a ion o i s da a and
me ada a.
Sel -Assessed Compliance Le el:
Response
Guidance
The eposi o y mus ha e measu es in place o add ess he isks inhe en in changing
ci cums ances, including in mission and/o scope. This Requi emen co e s he s able
managemen o eposi o y se ices o e ime (business con inui y) and he esponse when
se ices ha e p oblems (disas e eco e y). I also includes p epa a ions o hando e o
digi al objec s and se ices o ano he eposi o y (succession planning). The deposi , s o age,
p ese a ion, and access se ices offe ed by he eposi o y o deposi o s and use s a e all in
scope.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● The unc ions and se ices offe ed by he eposi o y o deposi o s and use s.
● The app oach o apid changes o ci cums ance and long- e m planning.
● The op ions o eloca ion o ansi ion o he ac i i y o ano he eposi o y. Fo
example, he case o cessa ion o unding due o an unexpec ed wi hd awal o unding,
o a shi o hos ins i u ion in e es s. Such op ions should also include he le els o
se ice ha will be con inued a eloca ion o ansi ion (e.g. da a e en ion only, o
including o he se ices).
● The eposi o y app oach o managing policies, p ocedu es and o he business
in o ma ion o e ime.
E en hough succession ag eemen s may be ha d o achie e i is impo an o acknowledge
he possibili y ha a eposi o y will cease o unc ion o exis . Applica ions can be ce ified
and ece ified wi h compliance le el “In P og ess: he eposi o y is in he implemen a ion
phase”. I he e is no o mal, w i en ag eemen be ween he eposi o y and a successo hen
he compliance le el canno be highe han “In P og ess: he eposi o y is in he
implemen a ion phase”. Such an ag eemen can be wi h ano he eposi o y o ake o e
holdings, bu is no limi ed o his and may also conce n a so wa e o se ices p o ide .
Any echnical aspec s o business con inui y, and disas e and succession planning should be
co e ed in R15 (Technical in as uc u e).
Reposi o ies mus ensu e con inui y o hei collec ions and assume esponsibili y in he case
o a empo a y o pe manen b eak in se ice. Responses and e idence should demons a e
he le el o esponsibili y aken o digi al objec s, he le el o isk o he eposi o y , and he
le el o succession planning o he u u e o he da a collec ion.
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Possible e idence o his Requi emen could include an exi plan, con inui y plan, esc ow
ag eemen , o Se ice Le el Ag eemen wi h a so wa e o se ice p o ide . Rele an
in o ma ion could include whe he he applican is he p ima y o only cus odian, whe he he
deposi o sha es some esponsibili y o he u u e o he digi al objec s and any se ice le el
gua an ees o minimum gua an eed ime pe iods (e.g. o e en ion o p ese a ion) in place.
I sus ainabili y pa ially depends on a hos o pa en o ganisa ion, o ano he o ganisa ion
has gua an eed ha i will ake o e he esponsibili y in he case o a se ice discon inui y,
his should be clea ly indica ed. Iden i ying and en e ing a o mal ag eemen wi h a successo
o ganisa ion ha can unde ake o deli e he same le els o ca e and se ice is
acknowledged as a challenge o many eposi o ies. Fo his eason a con inued s a us o ‘in
p og ess’ may be accep ed as sufficien du ing enewal o ce ifica ion i clea ly explained.
Legal & E hical (R04)
R04. The eposi o y ensu es o he ex en possible ha da a and me ada a a e c ea ed,
cu a ed, p ese ed, accessed and used in compliance wi h legal and e hical no ms.
Sel -Assessed Compliance Le el:
Response
Guidance
This equi emen ela es o eposi o y awa eness and p ocesses a ound legal and e hical
issues, including p i acy and confiden iali y, ha impac he c ea ion, cu a ion, and use o
digi al objec s.
To main ain he us o hose who ag ee o ha e hei digi al objec s held by he eposi o y,
e idence should demons a e p ac ices ha eflec he legal s a us and sensi i i y o digi al
objec s, including guidance o deposi o s and use s.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● How he eposi o y iden ifies and manages ele an legal and e hical s anda ds ha
impac ope a ions.
● Compliance wi h specific legal and/o e hical discipline o domain s anda ds.
● In o ma ion eques ed om deposi o s o confi m ha da a collec ion o c ea ion was
ca ied ou in acco dance wi h legal and e hical c i e ia in he ele an geog aphical
loca ion o discipline (e.g. E hical Re iew Commi ee/Ins i u ional Re iew Boa d o Da a
P o ec ion legisla ion).
● Any da a o me ada a wi h disclosu e isk e.g. deposi o /use in o ma ion, pe sonal,
cul u al, o en i onmen al in o ma ion
Fo applican s ha hold da a o me ada a wi h disclosu e isk include e e ences o he
ollowing i ems:
● Special p ocedu es applied o manage disclosu e isk
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● Condi ions o dis ibu ion, access p o ec ion and use
● P ocesses o e iew disclosu e isk and o ake he necessa y s eps o ei he
anonymize files o o p o ide access in a secu e way
● S aff aining in he managemen o digi al objec s wi h disclosu e isk.
● Guidance p o ided on he esponsible deposi , download, and use o disclosi e o
po en ially disclosi e da a and me ada a.
The managemen o ela ed igh s and compliance checks should be co e ed unde Righ s
(R02). Measu es o p o ec digi al objec s should be add essed unde Secu i y (R16).
All o ganiza ions esponsible o da a ha e an e hical du y o manage hem o he le el
expec ed by he Designa ed Communi y. In addi ion o na ional and in e na ional
expec a ions o scien ific p ac ice, eposi o ies holding da a abou indi iduals, o ganiza ions,
indigenous peoples o p o ec ed a eas and species, he e a e addi ional legal and e hical
expec a ions.
Disclosu e o hese da a could also p esen a isk o pe sonal ha m, a b each o comme cial
confiden iali y, o he elease o c i ical in o ma ion e.g. he iden ifica ion o a pe son who
pa icipa ed in a su ey o he loca ion o endange ed species o an a chaeological si e. I
he e is any isk ha iden ifiable da a a e deposi ed he eposi o y mus ake app op ia e
measu es o ensu e hey a e deal wi h in acco dance wi h legal egula ions.
Fo applican s ha hold da a o me ada a wi h a disclosu e isk, he a ge compliance le el
should be “Implemen ed: he equi emen has been ully implemen ed by he eposi o y”.
E idence should demons a e ha he applican unde s ands hei legal en i onmen and he
ele an e hical p ac ices, and ha hey ha e documen ed p ocedu es in place o ensu e
con o mi y. This equi emen includes he app op ia e handling o da a and me ada a abou
he use s o eposi o y se ices.
Go e nance & Resou ces (R05)
R05. The eposi o y has adequa e unding and su icien numbe s o s a managed h ough a
clea sys em o go e nance o e ec i ely ca y ou he mission.
Sel -Assessed Compliance Le el:
Response
Guidance
This Requi emen eflec s a need o anspa ency o financing, go e nance, esponsibili ies,
and decision making. E idence should demons a e ha he eposi o y has a clea sys em o
go e nance and sufficien human and financial esou ces o ca y ou i s mission.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● Up- o-da e o ganiza ional cha and desc ip ion ou lining he go e nance s uc u e, key
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bodies, and epo ing lines; i is impo an o show he hie a chy, oles, and
ela ionships be ween managemen , ope a ional eams, e c.
● Timescales o p o ision and enewal o unding o ope a ional cos s and ec ui men ;
i is unde s ood ha pe manen , ongoing unding canno be pe ec ly quan ified o
gua an eed.
● E idence ha he eposi o y is, o is hos ed by, a ecognized ins i u ion (suppo ing
long- e m s abili y and sus ainabili y) app op ia e o i s Designa ed Communi y.
● Demons a e ha he eposi o y can mee i s obliga ions, including sufficien unding,
s aff esou ces, IT esou ces, and a budge o ex e nal engagemen when necessa y.
The a ailabili y o app op ia e expe ise is co e ed unde Expe ise (R06) below.
Responses and e idence should demons a e ha he eposi o y can mee i s obliga ions,
including sufficien unding, s aff esou ces, IT esou ces, and a budge o ex e nal
engagemen when necessa y. The o ganiza ion’s go e nance/managemen decision-making
p ocesses and he en i ies in ol ed should be clea e.g. h ough o ganiza ional diag ams.
E idence should include how o en pe iodical enewal o unding occu s. I is acknowledged
ha eposi o ies wo k unde a ange o diffe en unding models, and o en wi h limi ed
esou ces, bu demons a ing awa eness o hese issues is impo an o us wo hiness. I is
acknowledged ha pas unding is no a gua an ee o u u e unding, bu i may be indica i e
o s a e he his o ical imescale o he eposi o y.
O he ele an in o ma ion could include he balance o s uc u al e sus p ojec unding, he
o al numbe o ull ime equi alen (FTE) employees, and he p opo ions o s aff employed
on a pe manen o empo a y basis.
Expe ise & Guidance (R06)
R06. The eposi o y adop s mechanisms o secu e ongoing expe ise, guidance and
eedback-ei he in-house, o ex e nal.
Sel -Assessed Compliance Le el:
Response
Guidance
A eposi o y mus iden i y he skills necessa y o deli e he se ices i offe s, and sou ce and
main ain hose skills ei he as in e nal esou ces o h ough ex e nal engagemen . An
effec i e eposi o y s i es o accommoda e e olu ions in da a ypes, da a olumes, and da a
a es, as well as o adop he mos effec i e new echnologies in o de o emain aluable o
i s Designa ed Communi y.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● Tha guidance and expe ise eflec s he scien ific scope o he eposi o y, i ele an .
● The eposi o y aligns in e nal ec ui men and ex e nal engagemen wi h he se ices i
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offe s.
● The eposi o y ensu es ha i s s aff ha e access o ongoing aining and p o essional
de elopmen .
● The ange and dep h o expe ise o bo h he o ganisa ion and i s s aff, including any
ele an affilia ions (e.g. na ional o in e na ional bodies), is app op ia e o he mission.
● In-house ad ise s, o ex e nal ad iso y commi ees ha include echnical, cu a ion,
da a science, da a secu i y, and disciplina y expe s.
● How he eposi o y communica es wi h expe s o ad ice.
Responses and e idence should demons a e ha he eposi o y has sufficien in e nal
expe ise and is linked o a wide ne wo k o ad ice and guidance. E idence mus accoun o
he eposi o y day- o-day ac i i ies and he moni o ing o po en ial new challenges on he
ho izon (communi y and echnology wa ch).
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Digi al Objec Managemen
P o enance and au hen ici y (R07)
R07. The eposi o y gua an ees he au hen ici y o he digi al objec s and p o ides
p o enance in o ma ion.
Sel -Assessed Compliance Le el:
Response
Guidance
The eposi o y should p o ide e idence o show ha i ope a es a da a and me ada a
managemen sys em ha main ains p o enance in o ma ion o ensu e au hen ici y om
deposi , and h ough cu a ion and p ese a ion o he poin o access.
Any in en ional changes o da a and me ada a should be documen ed, including he a ionale
and o igina o o he change. Au hen ici y co e s eliabili y and p o enance, including he
ela ionship be ween he deposi ed digi al objec s and hose p o ided a he poin o access.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● The eposi o y app oach o changing and e sioning da a and me ada a. How he
app oach and eco ds o changes a e communica ed o da a deposi o s and use s.
● The p o enance in o ma ion and audi ails eco ded o da a and me ada a
p ocessing and e sioning.
● How he eposi o y compa es he essen ial p ope ies o diffe en e sions o he same
file.
● Iden ifica ion checks o deposi o s.
Responses and e idence should p o ide a clea o e iew o he p ocesses used o ensu e
da a au hen ici y h oughou he en i e cu a ion and p ese a ion li ecycle—including he
le el o manual and au oma ed p ac ice.
Audi ails, which a e w i en eco ds o he ac ions pe o med on he da a, should be
desc ibed in he e idence p o ided.
An example o an in o ma i e s a emen could be ‘A ela ional da abase main ains a
imes amped eco d o me ada a changes, including which logged-in accoun made he
change.’
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Deposi , App aisal & Accessibili y (R08)
R08. The eposi o y accep s da a and me ada a based on de ined c i e ia o ensu e
ele ance and accessibili y o use s.
Sel -Assessed Compliance Le el:
Response
Guidance
The app aisal unc ion du ing deposi is c i ical o e alua e whe he digi al objec s mee all
c i e ia o selec ion and o ensu e app op ia e managemen o hei p ese a ion. App aisal
ensu es ha deposi ed digi al objec s a e ele an and a e, o can become, accessible o he
Designa ed Communi y. Accessible means ha use s should easily be able o find, e ie e,
and use he da a and me ada a.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● Any documen ed deposi p ocess ha includes s eps o ensu e ha da a and me ada a
a e sufficien o long- e m p ese a ion.
● A collec ion de elopmen policy o p ocedu es o guide he selec ion o digi al objec s.
● C i e ia o p io i isa ion and any diffe en cu a ion-le els o p ese a ion le els defined
du ing app aisal.
● The app oach o digi al objec s ha do no all wi hin he mission/collec ion p ofile.
● P ocedu es o de e mine ha he me ada a equi ed o in e p e and use he digi al
objec s a e p o ided.
● Any au oma ed assessmen o me ada a adhe ence o ele an schemas.
● The eposi o y app oach i me ada a p o ided is insufficien o long- e m p ese a ion.
● A lis o p e e ed o ma s.
● Checks in place o ensu e ha deposi o s adhe e o he p e e ed o ma s.
● The app oach owa ds digi al objec s ha a e deposi ed in non-p e e ed o ma s.
● The ans e o cus ody and esponsibili y du ing he hando e om he deposi o o
he eposi o y.
This Requi emen co e s he selec ion c i e ia applied a he poin o deposi . Da a Quali y
(R11) should be used o add ess s eps aken by he eposi o y du ing he cu a ion p ocess.
Responses and e idence should demons a e ha only da a and me ada a app op ia e o he
documen ed collec ion de elopmen policy o p ocedu es a e accep ed. Reposi o y s aff
should ha e all he necessa y in o ma ion, p ocedu es, and expe knowledge o ensu e
long- e m p ese a ion and use as applicable o he Designa ed Communi y.
Fo he collec ion o emain ele an o and usable by he Designa ed
Communi y—pa icula ly in ligh o changes in echnology, cul u e, o legisla ion (e.g., da a
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p o ec ion o in ellec ual p ope y igh s)—selec ion c i e ia may ha e o be e ised ; his may
influence eapp aisal (see P ese a ion Plan- R09).
P ese a ion plan (R09)
R09. The eposi o y assumes esponsibili y o long- e m p ese a ion and manages his
unc ion in a planned and documen ed way.
Sel -Assessed Compliance Le el:
Response
Guidance
The eposi o y, deposi o s, and Designa ed Communi y need o unde s and he le el o
esponsibili y unde aken o he long- e m p ese a ion o da a and me ada a. This exceeds
bi le el in eg i y alone and co e s plans o espond o po en ial u u e changes which may
impac he unde s andabili y and eusabili y o da a and me ada a o e ime. P ocedu es
mus be documen ed and hei comple ion assu ed.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● The documen ed app oach o p ese a ion, including whe he his in ol es o ma
mig a ion, emula ion, e c. Ensu ing bi le el in eg i y is i al bu no sufficien o
p ese a ion.
● File o ma s and me ada a schemas o long e m p ese a ion.
● How he le el o esponsibili y o he p ese a ion o each i em is defined.
● Plans ela ed o u u e mig a ions o simila measu es o add ess he h ea o
obsolescence.
● Ac ions ele an o p ese a ion specified in documen a ion, including cus ody ans e ,
submission in o ma ion c i e ia, and p ese a ion in o ma ion me ada a.
● Measu es o ensu e hese ac ions a e aken.
● Any minimum s a ed e en ion and/o p ese a ion pe iods.
● How o en he digi al objec s a e e-app aised and he possible ou comes o
eapp aisal.
● The eposi o y app oach o dele ing/ emo ing da a and me ada a om
collec ion/holdings including he impac on pe sis en iden ifie s as well as he
a ailabili y and cu a ion o ombs one eco ds.
The igh s o he eposi o y, including he igh o p ese e, a e co e ed unde Righ s
Managemen (R02). Bi le el in eg i y is co e ed unde S o age and In eg i y (R14). Accep able
file o ma s a deposi should be co e ed unde Deposi and App aisal (R08). Measu es o
ensu e ha file o ma s, schemas and con en a e app op ia e o he Designa ed Communi y
should be co e ed unde Reuse (R13).
The e m p ese a ion plan e e s o ha ing a documen ed app oach o defining and
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implemen ing p ese a ion ac ions. The Requi emen s do no define o diffe en ia e be ween
a p ese a ion policy, plan, s a egy, o ac ion plan.
Responses and e idence should demons a e clea , managed documen a ion o ensu e: (1) an
o ganized app oach o long- e m p ese a ion, (2) con inued access o da a ypes despi e
o ma changes, and (3) he e is sufficien documen a ion o suppo usabili y by he
Designa ed Communi y. The esponse should add ess whe he he eposi o y has defined
p ese a ion le els and, i so, how hese a e applied. The p ese a ion plan should be
managed o ensu e ha changes o da a, me ada a, echnology and use equi emen s a e
handled in a s able and imely manne .
I p ese a ion le els diffe be ween classes o collec ions o i ems, he diffe ences in
p ese a ion app oach, and he c i e ia applied o de e mine he p ese a ion le el should be
explained. This may be ele an i , o example, he file size o an objec o he sensi i i y o
he da a i con ains de e mines he numbe o edundan copies made; o , only i ems
deposi ed in p e e ed o ma s a e con e ed o s anda d p ese a ion o ma s and will be
mig a ed in he u u e.
Policies and documen ed p ocedu es o eapp aisal should be in place o manage changes o
he cu a ion o p ese a ion le els o digi al objec s, o hei dele ion o emo al om he
eposi o y.
Applica ions ha do no link o a documen ed p ese a ion app oach can be only a a
maximum Compliance Le el o ‘In P og ess’. The e mus be a link o a documen ed plan by he
ime o enewal.
Quali y Assu ance (R10)
R10. The eposi o y add esses echnical quali y and s anda ds compliance, and ensu es ha
su icien in o ma ion is a ailable o end use s o make quali y- ela ed e alua ions.
Sel -Assessed Compliance Le el:
Response
Guidance
Diffe en eposi o ies unde ake diffe en le els o cu a ion on da a, me ada a and
documen a ion depending on he needs and expec a ions o hei deposi o s and Designa ed
Communi y. Quali y assu ance by he eposi o y ensu es ha digi al objec s comply wi h a
ange o s anda d c i e ia including accep able o ma s, me ada a schema, me ada a con en
and links o o he digi al objec s. This ela es o ‘ echnical quali y’ a he han he ‘scien ific
quali y’ o he o iginal digi al objec s c ea ion o collec ion p io o deposi , hough he
eposi o y mus ensu e he e is sufficien in o ma ion abou he digi al objec s o he
Designa ed Communi y o assess hei fi ness o use. Da a, o associa ed me ada a, may
ha e quali y issues ele an o hei esea ch alue, bu his does no p eclude hei use i a
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use can make a well-in o med decision on hei sui abili y h ough p o ided documen a ion.
The esponse s a emen and e idence should include e e ences o he ollowing i ems:
● The app oach o da a and me ada a quali y aken by he eposi o y including a ia ions
o diffe en cu a ion-le els.
● The s anda ds ha da a, me ada a and documen a ion mus comply wi h o be
accep able o p ese a ion and access. Whe he hese a e gene al ex e nal s anda ds,
in e nally de eloped s anda ds o specific o a communi y o p ac ice.
● The quali y con ol checks in place ensu e he comple eness and unde s andabili y o
da a and me ada a.
● The app oach o esol ing issues e.g. whe he he digi al objec s a e e u ned o he
deposi o o ec ifica ion, fixed by he eposi o y, no ed by quali y flags, and/o
included in he accompanying me ada a.
● The app oach o managing changes o expec ed s anda ds (e.g. new o upda ed da a
o ma s o me ada a schemas) in esponse o changes in he echnical en i onmen o
o changes in he needs o he Designa ed Communi y.
● Any links p o ided o o he digi al objec s’ da a and me ada a e.g. ela ed digi al
objec s, publica ions, o he use o con olled ocabula ies and on ologies.
This Requi emen e e s o da a and me ada a quali y s anda ds and assu ance du ing
cu a ion. Selec ion c i e ia a e co e ed du ing Deposi and App aisal (R08). Measu es o
ensu e ha digi al objec s emain fi o pu pose o e ime a e co e ed unde P ese a ion
Plan (R09).
Responses and e idence should demons a e an unde s anding o he quali y le els ha can
be easonably expec ed om deposi o s. E idence should desc ibe how quali y will be
assu ed du ing cu a ion, and he quali y expec a ions o he Designa ed Communi y. Bo h he
eposi o y and i s deposi o s a e expec ed o documen any a eas in which da a o me ada a
quali y alls below he expec ed s anda d.
Quali y assessmen becomes inc easingly ele an when he Designa ed Communi y is
mul idisciplina y, whe e use s may no ha e he pe sonal expe ience o make an e alua ion o
quali y om he da a alone.
Wo kflows (R11)
R11. Digi al objec managemen akes place acco ding o de ined wo k lows om deposi o
access.
Sel -Assessed Compliance Le el:
Response
Guidance
Fo Quali y Assu ance (R10) o be achie ed, i is necessa y o a oid ad hoc ac ions and o
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E idence should include which secu i y policies a e in place o go e n he secu i y o all
sys ems, including ne wo k secu i y, in usion checks, physical acili y secu i y, and
passwo ds.
I he esponse o Legal and E hical (R04) includes e e ences o holding sensi i e digi al
objec s hen he esponse he e should be explici abou he addi ional measu es aken o
p o ec his da a and me ada a.
Applican Feedback
We welcome eedback on he Co eT us Seal Requi emen s and he Ce ifica ion p ocedu e.
Response
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