[Moims-rac] Summary of Mandatory Requirements

Mon Nov 26 19:49:01 EST 2007

Greetings -

Though I'm not an active participant in the meetings, I do read all of
the minutes and follow the email discussions. 

I've been slowly doing a self-audit of the California Digital Library's
Preservation Repository and in the process have become familiar with a
list of "minimum required documents" outlined in Appendix 3 of TRAC and
referenced by DRAMBORA as well. TRAC describes the list as "documents
that are stipulated by one or more requirements, so a certified
repository should have and keep under review at least these documents."
I was struck by how far down the list many of these "required" items
appeared in the survey below.

Minimum Required Documents (Note that I've only included the relevant
section):

B1 Procedures related to ingest

B2.10 Process for testing understandability

B4.1 Preservation strategies

B4.2 Storage/migration strategies

B6.2 Policy for recording access actions

B6.4 Policy for access

Just an interesting indication of how the work of this group is evolving
and thus diverging from TRAC ...

Kirsten J. Neilsen

Digital Preservation Services Manager

California Digital Library

University of California Office of the President

510.987.0456

________________________________

From: moims-rac-bounces at mailman.ccsds.org
[mailto:moims-rac-bounces at mailman.ccsds.org] On Behalf Of Candida Fenton
Sent: Monday, November 26, 2007 7:07 AM
To: 'MOIMS-Repository Audit and Certification BOF'
Subject: [Moims-rac] Summary of Mandatory Requirements

Hi All

I thought it might be useful to summarise the responses to the Mandatory
Requirements table on the wiki.

I include a table below, with items arranged by the number of 'Ys'
below.

There are 13 possible respondents. No item in sections 4, 5 and 6 gets
more than two votes.

Item 

Number of Ys

B1.1 Repository identifies properties it will preserve for digital
objects.

9

B1.2 Repository clearly specifies the information that needs to be
associated with digital material at the time of its deposit (i.e., SIP).

9

B1.8 Repository has contemporaneous records of actions and
administration processes that are relevant to preservation (Ingest:
content acquisition).

6

B2.1 Repository has an identifiable, written definition for each AIP or
class of information preserved by the repository.

5

B2.4 Repository can demonstrate that all submitted objects (i.e., SIPs)
are either accepted as whole or part of an eventual archival object
(i.e., AIP), or otherwise disposed of in a recorded fashion.

5

B1.4 Repository's ingest process verifies each submitted object (i.e.,
SIP) for completeness and correctness as specified in B1.2. 

4

B2.3 Repository has a description of how AIPs are constructed from SIPs.

4

B2.9 (Proposed Revision) Repository has documented processes for
acquiring preservation metadata (i.e., PDI) for its associated Content
Information and acquires preservation metadata in accordance with the
documented processes.

4

B2.13 Repository has contemporaneous records of actions and
administration processes that are relevant to preservation (AIP
creation).

4

B1.3 Repository has mechanisms to authenticate the source of all
materials.

4

B2.11 Repository verifies each AIP for completeness and correctness at
the point it is generated.

3

B3.1 Repository has documented preservation strategies.

3

B1.5 Repository obtains sufficient physical control over the digital
objects to preserve them.

2

B2.5 Repository has and uses a naming convention that generates visible,
persistent, unique identifiers for all archived objects (i.e., AIPs ).

2

B4.1 Repository employs documented preservation strategies.

2

B4.3 Repository preserves the Content Information of archival objects
(i.e., AIPs).

2

B4.5 Repository has contemporaneous records of actions and
administration processes that are relevant to preservation (Archival
Storage). 

2

B5.1 Repository articulates minimum metadata requirements to enable the
designated community to discover and identify material of interest.

2

B5.2 Repository captures or creates minimum descriptive metadata and
ensures that it is associated with the archived object (i.e., AIP). 

2

B6.10 Repository enables the dissemination of authentic copies of the
original or objects traceable to originals. 

2

B1.7 Repository can demonstrate when preservation responsibility is
formally accepted for the contents of the submitted data objects (i.e.,
SIPs).

1

B2.2 Repository has a definition of each AIP (or class) that is adequate
to fit long-term preservation needs.

1

B2.7 Repository demonstrates that it has access to necessary tools and
resources to establish authoritative semantic or technical context of
the digital objects it contains. These tools and resources can be held
internally or can be shared via, for example, a trusted set of
registries.

1

B2.10 Repository has a documented process for testing understandability
of the information content and bringing the information content up to
the agreed level of understandability. 

1

B3.2 Repository has mechanisms in place for monitoring and notification
when Representation Information (including formats) approaches
obsolescence or is no longer viable. 

1

B3.3 Repository has mechanisms to change its preservation plans as a
result of its monitoring activities. 

1

B3.4 Repository can provide evidence of the effectiveness of its
preservation activities.

1

B4.2 Repository implements/responds to strategies for archival object
(i.e., AIP) storage and migration.

1

B4.4 Repository actively monitors integrity of archival objects (i.e.,
AIPs).

1

B5.3 Repository can demonstrate that referential integrity is created
between all archived objects (i.e., AIPs) and associated descriptive
information. 

1

B5.4 Repository can demonstrate that referential integrity is maintained
between all archived objects (i.e., AIPs) and associated descriptive
information. 

1

B6.1 Repository documents and communicates to its designated community
what access and delivery options are available. 

1

B6.4 Repository has documented and implemented access policies
(authorization rules, authentication requirements) consistent with
deposit agreements for stored objects.

1

B6.5 Repository access management system fully implements access policy.

1

B6.6 Repository logs all access management failures, and staff review
inappropriate "access denial" incidents.

1

B6.7 Repository can demonstrate that the process that generates the
requested digital object(s) (i.e., DIP) is completed in relation to the
request.

1

B6.8 Repository can demonstrate that the process that generates the
requested digital object(s) (i.e., DIP) is correct in relation to the
request. 

1

B1.6 Repository provides producer/depositor with appropriate responses
at predefined points during the ingest processes. 

0

B2.12 Repository provides an independent mechanism for audit of the
integrity of the repository collection/content.

0

B6.2 Repository has implemented a policy for recording all access
actions (includes requests, orders etc.) that meet the requirements of
the repository and information producers/depositors. 

0

B6.3 Repository ensures that agreements applicable to access conditions
are adhered to.

0

B6.9 Repository demonstrates that all access requests result in a
response of acceptance or rejection.

0

Best

Candida

___________________________________________________ 

Candida Fenton 
HATII Preservation Resources Officer 
Humanities Advanced Technology and Information Institute (HATII)
George Service House
11 University Gardens 
University of Glasgow
Glasgow 
G12 8QQ 
Scotland

Email: C.Fenton at hatii.arts.gla.ac.uk
<mailto:C.Fenton at hatii.arts.gla.ac.uk> 
Phone: +44 (0)141 330 5165
Fax: +44 (0)141 330 3788 
Web: http://www.casparpreserves.eu <http://www.casparpreserves.eu/> 

___________________________________________________ 

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