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Preservation Strategic Plan, meeting minutes, documentation of administrative decisions which have been made.

Discussion

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3.1.2.1 - The repository shall have an appropriate, formal succession plan, contingency plans, and/or escrow arrangements in place in case the repository ceases to operate or the governing or funding institution substantially changes its scope.

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Written and credible succession and contingency plan(s); explicit and specific statement documenting the intent to ensure continuity of the repository, and the steps taken and to be taken to ensure continuity; formal documents describing exit strategies and contingency plans; escrow of critical code, software, and metadata sufficient to enable reconstitution of the repository and its content with a trusted, independent agent or entity that is authorized to maintain and provide access to same in the event of repository failure; escrow and/or reserve funds set aside for contingencies; explicit agreements with successor organizations documenting the intent to ensure continuity of the repository, and the measures to be taken to ensure the complete and formal transfer of responsibility for the repository’s digital content and related assets, and granting the requisite rights necessary to ensure continuity of the content and repository services; documents outlining crisis management plans, disaster plans, business continuity plan etc); depositor agreements

Discussion

A repository's failure threatens the long-term sustainability of a repository’s information content. It is not sufficient for the repository to have an informal plan or policy regarding where its data goes should a failure occur. A formal plan with identified procedures needs to be in place.

3.1.1.2 - The repository shall monitor its organizational environment to determine when to execute its formal succession plan, contingency plans, and/or escrow arrangements

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Administrative policies, procedures, protocols, requirements; budgets and financial analysis documents; fiscal calendars; business plan(s); any evidence of active monitoring and preparedness.

Discussion

Even with effective business planning procedures in place, any repository with long-term commitments will likely face some kind of resource gap at some point.  If the repository cannot bridge these gaps its viability is threatened. As an answer to funding gaps, repositories may show how they plan to bridge funding gaps.  These commitments may come from the repository itself or parent organizations, as applicable. A formal succession plan often includes an adequate insurance buffer as a first and hopefully effective line of defense.  This obviates the need to invoke a succession plan except in extreme situations, such as the repository ceasing operations permanently.