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Criteria Progress

TRAC2 Criteria

Who's working on it?

Approved

Comments

3.1 Governance & Organizational Viability
Aurianne, Karl, Other

 

 

3.1.1 Mission statement
a

(tick)

 

3.1.2 Preservation strategic plan

a

(tick)

 

3.1.2.1 Succession, contigency, escrow plans

a

(tick)

 

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

(tick)

 

3.1.3 Collection policy
a

(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

a

(tick)

 

3.3.2 Preservation policies

a

(tick)

 

3.3.2.1 Review and update presevation policies
a

(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
Aurianne

(tick)

 

4.1.1.1 Procedures for identifying information properties that we will preserve
Aurianne

(tick)

 

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

Aurianne

(tick)

 

4.1.2 Specify content information at deposit

Aurianne

(tick)

 

4.1.3 Recognition and parsing of SIPs

Aurianne

(tick)

 

4.1.4 Verify the identity of the Producer
Aurianne

(tick)

 

4.1.5 Verify SIPs for completeness and correctness
Aurianne

(tick)

 

4.1.6 Obtain sufficient control over digital objects
Aurianne

(tick)

 

4.1.7 Provide depositor with responses

Aurianne

(tick)

 

4.1.8 Records of actions and processes related to acquisition

Aurianne

(tick)

 

4.2 Ingest - creation of the AIP

---------

 

 

4.2.1 Associated definition for each AIP or class of AIPs

Aurianne

(tick)

 

4.2.1.1 Identify which definition applies to which AIP
Aurianne

(tick)

 

4.2.1.2 Definition of each AIP
Aurianne

(tick)

 

4.2.2 Description of how AIPs are constructed from SIPs
Aurianne

(tick)

 

4.2.3 Document final disposition of all SIPs

Aurianne

(tick)

 

4.2.3.1 Procedures if a SIP is not incorporated or discarded

Aurianne

(tick)

 

4.2.4 Convention that generates persistent, unique identifiers for AIPs

Aurianne

(tick)

 

4.2.4.1 Uniquely identify each AIP

Aurianne

(tick)

 

4.2.4.1.1 Have unique indentifiers
Aurianne

(tick)

 

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

Aurianne

(tick)

 

4.2.4.1.3 Describe any processes for changes to identifiers

Aurianne

(tick)

 

4.2.4.1.4 Provide a list of all identifiers and check for duplications

Aurianne

(tick)

 

4.2.4.1.5 System of identifiers is adequate now and in the future

Aurianne

(tick)

 

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

Aurianne

(tick)

 

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

(tick)

 

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

(tick)

 

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

Aurianne

(tick)

 

4.2.5.3 Have access to the requisite Representation Information
Aurianne

(tick)

 

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

(tick)

 

4.2.6 Documented processes for acquiring PDI for associated Content Information
Aurianne

(tick)

 

4.2.6.1 Documented processes for acquiring PDI

Aurianne

(tick)

 

4.2.6.2 Execute documented processes for acquiring PDI

Aurianne

(tick)

 

4.2.6.3 PDI is persistently associated with Content Information of AIP
Aurianne

(tick)

 

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

(tick)

 

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

(tick)

 

4.2.7.2 Execute testing process of Content Information of AIPs

Aur

(tick)

 

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

Aur

(tick)

 

4.2.8 Verify each AIP for completeness and correctness

Aurianne

(tick)

 

4.2.9 Independent mechanism for verifying the integrity of the content
Aurianne

(tick)

 

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

(tick)

 

4.3 Preservation Planning
----------

 

 

4.3.1 Documented preservation strategies relevant to its holdings Aurianne

(tick)

 

4.3.2 Mechanisms for monitoring its preservation environment

Aurianne

(tick)

 

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

Aurianne

(tick)

 

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

(tick)

 

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

(tick)

 

4.3.4 Provide evidence of the effectiveness of its preservation activities Aurianne

(tick)

 

4.4 AIP Preservation
----------

 

 

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

Aurianne

(tick)

 

4.4.1.1 Preserve the Content Information of AIPs

Aurianne

(tick)

 

4.4.1.2 Actively monitor the integrity of AIPs

Aurianne

(tick)

 

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

(tick)

 

4.4.2.1 Procedures for all actions taken on AIPs Aurianne

(tick)

 

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

(tick)

 

4.5 Information Management
----------

 

 

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

Aurianne

(tick)

 

4.5.2 Capture or create minimum descriptive information for each AIP

Aurianne

(tick)

 

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

Aurianne

(tick)

 

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

Aurianne

(tick)

 

4.6 Access Management
---------

 

 

4.6.1 Comply with Access Policies Aurianne

(tick)

 

4.6.1.1 Log and review all access management failures and anomalies Aurianne

(tick)

 

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

Aurianne

(tick)

 

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

Aurianne

(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

Karl

(tick)

 

5.1.1.1 Employ technology watches or other technology monitoring notification systems Karl

(tick)

 

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

(tick)

 

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

(tick)

 

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

Karl

(tick)

 

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

Karl

(tick)

 

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

Karl

(tick)

 

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

Karl

(tick)

 

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

(tick)

 

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

Karl

(tick)

 

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

Karl

(tick)

 

5.1.1.3 Effective mechanisms to detect bit corruption or loss

Karl

(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 Karl

(tick)

 

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

(tick)

 

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

(tick)

 

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

Karl

(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

Karl

(tick)

 

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

Karl

(tick)

 

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

Karl

(tick)

 

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

(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

Karl

(tick)

 

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

(tick)

 

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

Karl

(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) Karl

(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