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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.

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 definitions
    • For each SIP or class of information ingested (B1.3)
    • For each AIP or class of information preserved (B2.1)
  • Policy addressing processes "to ensure that the information is acquired from the expected source" (B1.4)
  • Identify which pieces of descriptive metadata must be provided and who is responsible (B4.1)
  • Documented preservation strategies (B3.1)
  • Documented preservation planning (B3.11)
  • Document strategies for AIP storage and migration (B3.2)

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, B5.1)
    • Log all access management failures and review inappropriate access denial incidents (B5.2)
    • Ensure that users that are allowed access to objects can access them in their entirety or that they get a response telling them that part or all of their request cannot be filled. (B5.3, B5.5)
  • Processes "to ensure that the information is acquired from the expected source" (B1.4)
  • Obtain "sufficient physical control over the digital objects to preserve them." (B1.5)
    • Analysis of digital content
    • Verification, analysis, and creation of metadata
    • Authentication and integrity checking
    • Creation of the AIP
  • Ingest process verifies each SIP for completeness and correctness
  • "Repository provides Producer/depositor with appropriate responses at predefined points during the ingest process." (B1.7)
  • SIP tracking: "The accessioning procedures and the internal processing audit logs should maintain records of all internal transformations of SIPs, and thus demonstrate that they either become AIPs (or part of AIPs) or are disposed of" (B1.8)
  • Demonstrate when preservation responsibility is formally accepted for the contents of the SIP (B1.9) (Is this a technical stage or a workflow process?)
  • Implement strategies for AIP storage and migration (B3.2)
  • Preserve the content information of AIPs (B3.5)
  • Acquire "Preservation Description Information (PDI) for AIP-associated Content Information." (B3.6)
  • Actively monitor AIP integrity with Fixity Information (such as checksums) (B3.7)
  • Record actions taken during ingest while they're happening (B3.8)
  • Representation Information Registries
    • Use "appropriate international Representation Information (including format) registries." (B3.3)
    • Record/register Representation Information ingested (B3.4)
  • Monitor Representation Information (including formats) and notify staff when it approaches obsolescence (B3.9)
  • Digital object submission interface requires from the user those pieces of metadata for which they are responsible and associates them with the AIP (B4.1)
    • Create and ensure referential integrity between AIPs and descriptive information (no AIPs without information, no information without associated AIP(s)) (B4.2, B4.3)
  • Ensure that "the process that generates the DIP is correct in relation to the request." (If they get the right image, but in the wrong format, that's a violation of this.) (B5.4)
  • Ensure that "all access requests result in a response of acceptance or rejection." (B5.3, B5.5)
  • Ensure that the process that generates the DIP does not cause the loss or corruption of any content information (B5.6)

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)
  • "Repository provides Producer/depositor with appropriate responses at predefined points during the ingest process." (B1.7)
  • Demonstrate when preservation responsibility is formally accepted for the contents of the SIP (B1.9) (Is this a technical stage or a workflow process?)
  • Record actions taken during ingest while they're happening (if not automated) (B3.8)
  • Take action when notified that Representation Information (including formats) approaches obsolescence (B3.10)
  • Review inappropriate access denial incidents (B5.2)

Staffing

  • Staff have skills and expertise appropriate to their duties (A2.1)
  • Appropriate number of staff (A2.2)
  • No labels