About
I am using this space to reorganize the Checklist requirements into meaningful categories (policies/documentation, staffing, workflow, technical infrastructure). The next step will be to determine which of the requirements we currently meet and which we need to focus on.
Links
- Repository Preservation System wiki page
- RLG's Audit Checklist for the Certification of Trusted Digital Repositories
Policies/Documentation
- Mission Statement (A1.1)
- "reflects a commitment to the long-term retention of, management of, and access to digital information on behalf of depositors"
- accessible to depositors and other stakeholders
- Formal succession plan, contingency plans, and/or escrow arrangements (A1.2)
- Commitment to professional development
- Mechanism for reviewing and updating policies (A3.1)
- Commitment to formal, periodic reviews (A3.3)
- Document changes to operations, procedures, software, and hardware (A3.4)
- Commitment to "transparency and accountability in all actions supporting the operation and management of the repository" (A3.5)
- Commitment to define, collect, track and provide information integrity measurements (chain of custody, checksums, etc.) (A3.6)
- Commitment to regular certification and to notify certifying bodies "of operational changes that will change or nullify" certification status (A3.7)
- Short- and long-term business plans to support sustainability (and regular planning process) (A4.1)
- Business planning practices must be "transparent, compliant with relevant accounting standards and practices, and auditable." (A4.3)
- Commitment to "risk, benefit, investment, and expenditure analysis and reporting (including assets, licenses, and liabilities). (A4.4)
- Commitment to securing funds if necessary to maintain repository (A4.5)
- Maintain contracts or deposit agreements with depositors as appropriate (A5.1)
- Contracts, agreements, or documentation "specify and/or transfer appropriate preservation rights, as necessary." (A5.2)
- Track copyrights and restrictions on use specified in agreements with depositors (A5.3)
- Policy addressing situations where no ownership/rights specified
- Agreements specify "all appropriate aspects of acquisition, maintenance, access, and withdrawl" (B1.2)
- Agreements "specify exactly what digital object(s) are transferred, what documentation is associated with the object" (B1.3)
- Identify properties to preserve for each class of digital object (B1.1)
- Written definition for each SIP or class of information ingested (B1.3)
- Policy addressing processes "to ensure that the information is acquired from the expected source" (B1.4)
Technical Infrastructure
- Monitoring and feedback mechanisms to ensure operation and resolve problems (A3.2)
- Collect and report information integrity measurements (chain of custody, checksums, etc.) (A3.6)
- Track and enforce copyrights and restrictions on use specified in agreements with depositors (A5.3)
- Processes "to ensure that the information is acquired from the expected source" (B1.4)
Workflow
- Mechanism for reviewing and updating policies (A3.1)
- Mechanism for eliciting new requirements from depositors (A3.2)
- Formal, periodic reviews (A3.3)
- Regular certification; between certifications notify certifying bodies "of operational changes that will change or nullify" certification status (A3.7)
- Regular short- and long-term business planning to support sustainability (A4.1)
- Regular "risk, benefit, investment, and expenditure" analysis and reporting (A4.4)
Staffing
- Staff have skills and expertise appropriate to their duties (A2.1)
- Appropriate number of staff (A2.2)