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Criteria Progress

TRAC2 Criteria

Approved

Comments

3.1 Governance & Organizational Viability

 

 

3.1.1 Mission statement

(tick)

 

3.1.2 Preservation strategic plan

(tick)

 

3.1.2.1 Succession, contigency, escrow plans

(tick)

 

3.1.2.2 Monitor environment for time to deploy
succession,contingency, escrow

(tick)

 

3.1.3 Collection policy

(tick)

 

3.2 Organizational Structure & Staffing

 

 

3.2.1 Identified duties and appointed staff

(tick)

 

3.2.1.1 Identified and established duties

(tick)

 

3.2.1.2 Appropriate number of staff

(tick)

 

3.2.1.3 Professional development program

(tick)

 

3.3 Procedural Accountability and
Preservation Policy Framework

 

 

3.3.1 Designated community

(tick)

 

3.3.2 Preservation policies

(tick)

 

3.3.2.1 Review and update presevation policies

(tick)

 

3.3.3 Documented history of changes

(tick)

 

3.3.4 Commit to transparency

(tick)

 

3.3.5 Information integrity measurements

(tick)

 

3.3.6 Self-assessment and external certification

(tick)

 

3.4 Financial Sustainability

 

 

3.4.1 Business planning processes

(tick)

 

3.4.2 Financial transparency, compliance, and audits

(tick)

 

3.4.3 Risk, benefit, investment, expenditure

(tick)

 

3.5 Contracts, Licenses, & Liabilities

 

 

3.5.1 Contracts or deposit agreements for content

(tick)

 

3.5.1.1 Contracts or deposit agreements for preservation rights

(tick)

 

3.5.1.2 Completeness of agreements with depositors

(tick)

 

3.5.1.3 Policies about preservation responsibility

(tick)

 

3.5.1.4 Policies about liability and rights challenges

(tick)

 

3.5.2 Track and manage property rights/restrictions

(tick)

 

4.1 Ingest - acquisition of content

 

 

4.1.1 Identify content information and information properties

(tick)

 

4.1.1.1 Procedures for identifying information properties that we will preserve

(tick)

 

4.1.1.2 Record of content information and information properties that we will preserve

(tick)

 

4.1.2 Specify content information at deposit

(tick)

 

4.1.3 Recognition and parsing of SIPs

(tick)

 

4.1.4 Verify the identity of the Producer

(tick)

 

4.1.5 Verify SIPs for completeness and correctness

(tick)

 

4.1.6 Obtain sufficient control over digital objects

(tick)

 

4.1.7 Provide depositor with responses

(tick)

 

4.1.8 Records of actions and processes related to acquisition

(tick)

 

4.2 Ingest - creation of the AIP

 

 

4.2.1 Associated definition for each AIP or class of AIPs

(tick)

 

4.2.1.1 Identify which definition applies to which AIP

(tick)

 

4.2.1.2 Definition of each AIP

(tick)

 

4.2.2 Description of how AIPs are constructed from SIPs

(tick)

 

4.2.3 Document final disposition of all SIPs

(tick)

 

4.2.3.1 Procedures if a SIP is not incorporated or discarded

(tick)

 

4.2.4 Convention that generates persistent, unique identifiers for AIPs

(tick)

 

4.2.4.1 Uniquely identify each AIP

(tick)

 

4.2.4.1.1 Have unique indentifiers

(tick)

 

4.2.4.1.2 Assign and maintain persistent identifiers of the AIP and its components

(tick)

 

4.2.4.1.3 Describe any processes for changes to identifiers

(tick)

 

4.2.4.1.4 Provide a list of all identifiers and check for duplications

(tick)

 

4.2.4.1.5 System of identifiers is adequate now and in the future

(tick)

 

4.2.4.2 System of reliable linking/resolution services in order to find identified objects

(tick)

 

4.2.5 Tool and resources to provide authoritative Representation Information for all objects

(tick)

 

4.2.5.1 Tools or methods to identify the file types of all objects

(tick)

 

4.2.5.2 Tools or methods to determine what Representation Information is necessary for understandability

(tick)

 

4.2.5.3 Have access to the requisite Representation Information

(tick)

 

4.2.5.4 Tools or methods to ensure that Representation Information is persistently associated with objects

(tick)

 

4.2.6 Documented processes for acquiring PDI for associated Content Information

(tick)

 

4.2.6.1 Documented processes for acquiring PDI

(tick)

 

4.2.6.2 Execute documented processes for acquiring PDI

(tick)

 

4.2.6.3 PDI is persistently associated with Content Information of AIP

(tick)

 

4.2.7 Content Information is understandable for Designated Community at the time of AIP creation

(tick)

 

4.2.7.1 Processes for testing understandability for Designated Community of the Content Information of AIPs

(tick)

 

4.2.7.2 Execute testing process of Content Information of AIPs

(tick)

 

4.2.7.3 Bring Content Information of AIP up to level of understandabililty if it fails testing

(tick)

 

4.2.8 Verify each AIP for completeness and correctness

(tick)

 

4.2.9 Independent mechanism for verifying the integrity of the content

(tick)

 

4.2.10 Contemporaneous records of actions and administration processes relevant to AIP creation

(tick)

 

4.3 Preservation Planning

 

 

4.3.1 Documented preservation strategies relevant to its holdings

(tick)

 

4.3.2 Mechanisms for monitoring its preservation environment

(tick)

 

4.3.2.1 Mechanisms for monitoring and notification when Representation Information is inadequate for the Designated Community to understand the data holdings

(tick)

 

4.3.3 Mechanisms to change preservation plans as a result of its monitoring activities

(tick)

 

4.3.3.1 Mechanisms for creating, identifying or gathering any extra Representation Information required

(tick)

 

4.3.4 Provide evidence of the effectiveness of its preservation activities

(tick)

 

4.4 AIP Preservation

 

 

4.4.1 Specifications for how the AIPs are stored down to the bit level

(tick)

 

4.4.1.1 Preserve the Content Information of AIPs

(tick)

 

4.4.1.2 Actively monitor the integrity of AIPs

(tick)

 

4.4.2 Contemporaneous records of actions and administration processes that are relevant to storage and preservation of the AIPs

(tick)

 

4.4.2.1 Procedures for all actions taken on AIPs

(tick)

 

4.4.2.2 Demonstrate that any actions taken on AIPs were compliant with the specification of those actions

(tick)

 

4.5 Information Management

 

 

4.5.1 Specify minimum information requirements to enable the Designated Community to discover and identify material

(tick)

 

4.5.2 Capture or create minimum descriptive information for each AIP

(tick)

 

4.5.3 Create bi-directional linkages between each AIP and its descriptive information

(tick)

 

4.5.3.1 Maintain the bi-directional associations between its AIPs and their descriptive information over time

(tick)

 

4.6 Access Management

 

 

4.6.1 Comply with Access Policies

(tick)

 

4.6.1.1 Log and review all access management failures and anomalies

(tick)

 

4.6.2 Follow policies and procedures that enable the dissemination of digital objects that are traceable to the originals

(tick)

 

4.6.2.1 Record and act upon problem reports about errors in data and responses from users

(tick)

 

5.1 Technical Infrastructure Risk Management

 

 

5.1.1 Identify and manage the risks to its preservation operations and goals associated with system infrastructure

(tick)

 

5.1.1.1 Employ technology watches or other technology monitoring notification systems

(tick)

 

5.1.1.1.1 Hardware technologies appropriate to the services it provides to its designated communities

(tick)

 

5.1.1.1.2 Procedures in place to monitor and receive notifications when hardware technology changes are needed

(tick)

 

5.1.1.1.3 Procedures in place to evaluate when changes are needed to current hardware

(tick)

 

5.1.1.1.4 Procedures, commitment and funding to replace hardware when evaluation indicates the need to do so

(tick)

 

5.1.1.1.5 Software technologies appropriate to the services it provides to its designated communities

(tick)

 

5.1.1.1.6 Procedures in place to monitor and receive notifications when software changes are needed

(tick)

 

5.1.1.1.7 Procedures in place to evaluate when changes are needed to current software

(tick)

 

5.1.1.1.8 Procedures, commitment and funding to replace software when evaluation indicates the need to do so

(tick)

 

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

(tick)

 

5.1.1.3 Effective mechanisms to detect bit corruption or loss

(tick)

 

5.1.1.3.1 Record and report to its administration all incidents of data corruption or loss, and steps shall be taken to repair/replace

(tick)

 

5.1.1.4 Process to record and react to the availability of new security updates based on a risk-benefit assessment

(tick)

 

5.1.1.5 Defined processes for storage media and/or hardware change (e.g., refreshing, migration)

(tick)

 

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

(tick)

 

5.1.1.6.1 Documented change management process that identifies changes to critical processes that potentially affect the repository's ability to comply with its mandatory responsibilities

(tick)

 

5.1.1.6.2 Process for testing and evaluating the effect of changes to the repository's critical processes

(tick)

 

5.1.2 Manage the number and location of copies of all digital objects

(tick)

 

5.1.2.1 Mechanisms in place to ensure any/multiple copies of digital objects are synchronized

(tick)

 

5.2 Security Risk Management

 

 

5.2.1 Maintain a systematic analysis of security risk factors associated with data, systems, personnel, and physical plant

(tick)

 

5.2.2 Implemented controls to adequately address each of the defined security risks

(tick)

 

5.2.3 Staff shall have delineated roles, responsibilities, and authorizations related to implementing changes

(tick)

 

5.2.4 Suitable written disaster preparedness and recovery plan(s), including at least one off-site backup of all preserved information together with an offsite copy of the recovery plan(s)

(tick)

 

Ongoing Discussions

Issue

Who's working on it?

Design template (letterhead, typefaces) for downloadable Documents

Steve, Karl

Future monitoring and reviewing schedule or calendaring.
Discuss with Marie at CRL

Steve, Karl

Document version template

Aurianne, Karl, Steve

Risks associated with formats, where to talk about them?

Steve, Karl

List of formats?

Karl, Steve

Make file format language consistent

Karl

Make language, formatting consistent

All

"Understandability"

All

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