TRAC2 Criteria
| Who's working on it? | Approved
| Proofread
| Comments
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3.1 Governance & Organizational Viability
| Aurianne, Karl, Other | | | |
3.1.1 Mission statement
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3.1.2 Preservation strategic plan
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3.1.2.1 Succession, contigency, escrow plans
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3.1.2.2 Monitor environment for time to deploy
succession,contingency, escrow
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3.1.3 Collection policy
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3.2 Organizational Structure & Staffing
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3.2.1 Identified duties and appointed staff
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3.2.1.1 Identified and established duties
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3.2.1.2 Appropriate number of staff
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3.2.1.3 Professional development program
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3.3 Procedural Accountability and
Preservation Policy Framework
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3.3.1 Designated community
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3.3.2 Preservation policies
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3.3.2.1 Review and update presevation policies
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3.3.3 Documented history of changes
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3.3.4 Commit to transparency
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3.3.5 Information integrity measurements
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3.3.6 Self-assessment and external certification
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3.4 Financial Sustainability
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3.4.1 Business planning processes
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3.4.2 Financial transparency, compliance, and audits
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3.4.3 Risk, benefit, investment, expenditure
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3.5 Contracts, Licenses, & Liabilities
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3.5.1 Contracts or deposit agreements for content
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3.5.1.1 Contracts or deposit agreements forpreservation rights
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3.5.1.2 Completeness of agreements with depositors
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3.5.1.3 Policies about preservation responsibility
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3.5.1.4 Policies about liability and rights challenges
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3.5.2 Track and manage property rights/restrictions
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4.1 Ingest - acquisition of content
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4.1.1 Identify content information and information properties
| Aurianne |
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4.1.1.1 Procedures for identifying information properties that we will preserve
| Aurianne | | | |
4.1.1.2 Record of content information and information properties that we will preserve
| Aurianne | | | |
4.1.2 Specifiy content information at deposit
| Aurianne | | | |
4.1.3 Recognition and parsing of SIPs
| Aurianne | | | |
4.1.4 Verify the identity of the Producer
| Aurianne | | | |
4.1.5 Verify SIPs for completeness and correctness
| Aurianne | | | |
4.1.6 Obtain sufficient control over digital objects
| Aurianne | | | |
4.1.7 Provide depositor with responses
| Aurianne | | | |
4.1.8 Records of actions and processes related to acquisition
| Aurianne | | | |
4.2 Ingest - creation of the AIP
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4.2.1 Associated definition for each AIP or class of AIPs
| Aurianne |
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4.2.1.1 Identify which definition applies to which AIP
| Aurianne | | | |
4.2.1.2 Definition of each AIP
| Aurianne | | | |
4.2.2 Description of how AIPs are constructed from SIPs
| Aurianne | | | |
4.2.3 Document final disposition of all SIPs
| Aurianne | | | |
4.2.3.1 Procedures if a SIP is not incorporated or discarded
| Aurianne | | | |
4.2.4 Convention that generates persistent, unique identifiers for AIPs
| Aurianne | | | |
4.2.4.1 Uniquely identify each AIP
| Aurianne | | | |
4.2.4.1.1 Have unique indentifiers
| Aurianne | | | |
4.2.4.1.2 Assign and maintain persistent identifiers of the AIP and its components
| Aurianne | | | |
4.2.4.1.3 Describe any processes for changes to identifiers
| Aurianne | | | |
4.2.4.1.4 Provide a list of all identifiers and check for duplications
| Aurianne | | | |
4.2.4.1.5 System of identifiers is adequate now and in the future
| Aurianne | | | |
4.2.4.2 System of reliable linking/resolution services in order to find identified objects
| Aurianne | | | |
4.2.5 Tool and resources to provide authoritative Representation Information for all objects
| Aurianne | | | |
4.2.5.1 Tools or methods to identify the file types of all objects
| Aurianne | | | |
4.2.5.2 Tools or methods to determine what Representation Information is necessary for understandability
| Aurianne | | | |
4.2.5.3 Have access to the requisite Representation Information
| Aurianne | | | |
4.2.5.4 Tools or methods to ensure that Representation Information is persistently associated with objects
| Aurianne | | | |
4.2.6 Documented processes for acquiring PDI for associated Content Information
| Aurianne | | | |
4.2.6.1 Documented processes for acquiring PDI
| Aurianne | | | |
4.2.6.2 Execute documented processes for acquiring PDI
| Aurianne | | | |
4.2.6.3 PDI is persistently associated with Content Information of AIP
| Aurianne | | | |
4.2.7 Content Information is understandable for Designated Community at the time of AIP creation
| Aurianne | | | |
4.2.7.1 Processes for testing understandability for Designated Community of the Content Information of AIPs
| Aur | | | |
4.2.7.2 Execute testing process of Content Information of AIPs
| Aur | | | |
4.2.7.3 Bring Content Information of AIP up to level of understandabililty if it fails testing
| Aur | | | |
4.2.8 Verify each AIP for completeness and correctness
| Aurianne | | | |
4.2.9 Independent mechanism for verifying the integrity of the content
| Aurianne | | | |
4.2.10 Contemporaneous records of actions and administration processes relevant to AIP creation | Aurianne | |
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4.3 Preservation Planning
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4.3.1 Documented preservation strategies relevant to its holdings | Aur | | | |
4.3.2 Mechanisms for monitoring its preservation environment | Aurianne | | | |
4.3.2.1 Mechanisms for monitoring and notification when Representation Information is inadequate for the Designated Community to understand the data holdings | Aurianne | | | |
4.3.3 Mechanisms to change preservation plans as a result of its monitoring activities | Aur Aurianne | | | |
4.3.3.1 Mechanisms for creating, identifying or gathering any extra Representation Information required | | | | |
4.3.4 Provide evidence of the effectiveness of its preservation activities | | | | |
4.4 AIP Preservation
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4.4.1 Specifications for how the AIPs are stored down to the bit level | Aurianne | | | |
4.4.1.1 Preserve the Content Information of AIPs | Aurianne | | | |
4.4.1.2 Actively monitor the integrity of AIPs | Aurianne | | | |
4.4.2 Contemporaneous records of actions and administration processes that are relevant to storage and preservation of the AIPs | Aurianne | | | |
4.4.2.1 Procedures for all actions taken on AIPs | Aurianne | | | |
4.4.2.2 Demonstrate that any actions taken on AIPs were compliant with the specification of those actions | Aurianne | |
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4.5 Information Management
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4.5.1 Specify minimum information requirements to enable the Designated Community to discover and identify material | Aurianne | | | |
4.5.2 Capture or create minimum descriptive information for each AIP | Aurianne | | | |
4.5.3 Create bi-directional linkages between each AIP and its descriptive information | Aurianne | | | |
4.5.3.1 Maintain the bi-directional associations between its AIPs and their descriptive information over time | Aurianne | |
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4.6 Access Management
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4.6.1 Comply with Access Policies | Aurianne | | | |
4.6.1.1 Log and review all access management failures and anomalies | | | | |
4.6.2 Follow policies and procedures that enable the dissemination of digital objects that are traceable to the originals | Aurianne | | | |
4.6.2.1 Record and act upon problem reports about errors in data and responses from users | Aurianne | |
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5.1 Technical Infrastructure Risk Management
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5.1.1 Identify and manage the risks to its preservation operations and goals associated with system infrastructure | Karl
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5.1.1.1 Employ technology watches or other technology monitoring notification systems | | | | |
5.1.1.1.1 Hardware technologies appropriate to the services it provides to its designated communities | | | | |
5.1.1.1.2 Procedures in place to monitor and receive notifications when hardware technology changes are needed | | | | |
5.1.1.1.3 Procedures in place to evaluate when changes are needed to current hardware | | | | |
5.1.1.1.4 Procedures, commitment and funding to replace hardware when evaluation indicates the need to do so | | | | |
5.1.1.1.5 Software technologies appropriate to the services it provides to its designated communities | | | | |
5.1.1.1.6 Procedures in place to monitor and receive notifications when software changes are needed | | | | |
5.1.1.1.7 Procedures in place to evaluate when changes are needed to current software | | | | |
5.1.1.1.8 Procedures, commitment and funding to replace software when evaluation indicates the need to do so | | | | |
5.1.1.2 Adequate hardware and software support for backup functionality sufficient for preserving the repository content and tracking repository functions | Karl | | | |
5.1.1.3 Effective mechanisms to detect bit corruption or loss | Karl | | | |
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
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5.1.1.4 Process to record and react to the availability of new security updates based on a risk-benefit assessment | | | | |
5.1.1.5 Defined processes for storage media and/or hardware change (e.g., refreshing, migration) | | | | |
5.1.1.6 Identified and documented critical processes that affect its ability to comply with its mandatory responsibilities | Karl | | | |
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 | | | | |
5.1.1.6.2 Process for testing and evaluating the effect of changes to the repository's critical processes | | | | |
5.1.2 Manage the number and location of copies of all digital objects | Karl
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5.1.2.1 Mechanisms in place to ensure any/multiple copies of digital objects are synchronized | Karl
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5.2 Security Risk Management
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5.2.1 Maintain a systematic analysis of security risk factors associated with data, systems, personnel, and physical plant | Karl | | | |
5.2.2 Implemented controls to adequately address each of the defined security risks | Karl
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5.2.3 Staff shall have delineated roles, responsibilities, and authorizations related to implementing changes | | | | |
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 | | | |