3.4.1 Business planning processes

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3.4.1 Business planning processes
Status Ready for review
Compliance Rating Fully compliant

The repository shall have short- and long-term business planning processes in place to sustain the repository over time.

Supporting Text

This is necessary in order to ensure the viability of the repository over the period of time it has promised to provide access to its contents for its Designated Community.

Examples for Meeting the Requirement

Up-to-date, multi-year strategic, operating and/or business plans; audited annual financial statements; financial forecasts with multiple budget scenarios; contingency plans; market analysis.


An annual business planning process is commonly accepted as the standard for most organizations.

Evidence Provided

APTrust's Financial Sustainability and Business Planning (approved by the APTrust Board, April 2018) document is here: https://doi.org/10.18130/V3WM13T1F

APTrust's Budget Reports

Goals for 2018 adopted by the Board in December 2017 publicly posted on the APTrust website includes goals related to business plans under "Section III: Document APTrust Value": http://aptrust.org/post/2017-12-11-governing-board-sets-2018-direction-for-aptrust

It is also part of the job description of the Program Director to "manage and disseminate budget figures." See 3.2.1 for more information.