Identification of mandatory requirements: Section A

Please choose an option under your initials for each requirement. Comments may be added to the table below each requirement, by adding a row to the table.

At the Megameeting on 26th November 2007, it was agreed that the following definitions would be used:

  • Mandatory means it is a critical requirement that must be done in order to either be doing preservation adequately or demonstrating the same
  • Marking with Y means accepting the requirement as mandatory as it is now expressed; N means considering it is not mandatory as it is now expressed; ? means that it needs clarification.

A1. Governance & organizational viability


A1.1 Repository has a mission statement that reflects a commitment to the long-term retention of, management of, and access to digital information.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - N - - - N - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta A repository may be just one link in the chain - not clear this metric makes that clear.


A1.2 Repository has 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.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

A2. Organizational structure & staffing


A2.1 Repository has identified and established the duties that it needs to perform and has appointed staff with adequate skills and experience to fulfill these duties.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A2.2 Repository has the appropriate number of staff to support all functions and services.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Not clear whether "appropriate" means anything that can be evaluated


A2.3 Repository has an active professional development program in place that provides staff with skills and expertise development opportunities.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Not clear this is absolutely necessary - atlthough clear a good thing

A3. Procedural accountability & policy framework


A3.1 Repository has defined its designated community(ies) and associated knowledge base(s) and has publicly accessible definitions and policies in place to dictate how its preservation service requirements will be met.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Seems a logical necessity coming from OAIS, with the additional ideas related to the market


A3.2 Repository has procedures and policies in place, and mechanisms for their review, update, and development as the repository grows and as technology and community practice evolve.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A3.3 Repository maintains written policies that specify the nature of any legal permissions required to preserve digital content over time, and repository can demonstrate that these permissions have been acquired when needed.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta The "when needed" may be difficult to evaluate


A3.4 Repository is committed to formal, periodic review and assessment to ensure responsiveness to technological developments and evolving requirements.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta It is hard to see a repository being trusted if it does not do this


A3.5 Repository has policies and procedures to ensure that feedback from producers and users is sought and addressed over time.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DAvidGiaretta Not sure that feedback from producers is essential


A3.6 Repository has a documented history of the changes to its operations, procedures, software, and hardware that, where appropriate, is linked to relevant preservation strategies and describes potential effects on preserving digital content.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta This is necessary because of the need to provide evidence of what has been done - the level of detail needed is unclear


A3.7 Repository commits to transparency and accountability in all actions supporting the operation and management of the repository, especially those that affect the preservation of digital content over time.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta In principle this is a good metric but the question to me is how open this should be - for example an archive in a commercial firm should be open to its customers but not to everyone


A3.8 Repository commits to defining, collecting, tracking, and providing, on demand, its information integrity measurements.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta The question is is the "on demand" - demand from whom?


A3.9 Repository commits to a regular schedule of self-assessment and certification and, if certified, commits to notifying certifying bodies of operational changes that will change or nullify its certification status.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -

A4. Financial sustainability


A4.1 Repository has short- and long-term business planning processes in place to sustain the repository over time.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Not clear over what time period - this seems to assume the repository aims to last essentially forever


A4.2 Repository has in place processes to review and adjust business plans at least annually.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A4.3 Repository’s financial practices and procedures are transparent, compliant with relevant accounting standards and practices, and audited by third parties in accordance with territorial legal requirements.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A4.4 Repository has ongoing commitment to analyze and report on risk, benefit, investment, and expenditure (including assets, licenses, and liabilities).

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A4.5 Repository commits to monitoring for and bridging gaps in funding.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Not clear that a repository can commit to bridge gaps - but it can certainly try

A5. Contracts, licenses, & liabilities


A5.1 If repository manages, preserves, and/or provides access to digital materials on behalf of another organization, it has and maintains appropriate contracts or deposit agreements.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - N - - - - - - -


A5.2 Repository contracts or deposit agreements must specify and transfer all necessary preservation rights, and those rights transferred must be documented.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A5.3 Repository has specified all appropriate aspects of acquisition, maintenance, access, and withdrawal in written agreements with depositors and other relevant parties.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - ? - - - Y - - - - - - -

Who Comment (add a row to the table for your comment)
DavidGiaretta Looks as if this excludes "dark archives" or things like internet archives, although the word "appropriate" is a get-out and may be adequate


A5.4 Repository tracks and manages intellectual property rights and restrictions on use of repository content as required by deposit agreement, contract, or license.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - Y - - - - - - -


A5.5 If repository ingests digital content with unclear ownership/rights, policies are in place to address liability and challenges to those rights.

Mandatory requirement?

BAmb BSie CFen DGia DSaw HTib JGar KTho MCon NMcG PInn RDow SLam RFer MWal
- - - Y - - - N - - - - - - -

-- SimonLambert - 14 Jan 2008

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Topic revision: r4 - 2008-02-11 - KatiaThomaz
 
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