CPA1.1 - Mission and Scope

Purpose

Repositories take responsibility for stewardship of digital objects, and to ensure that materials are held in the appropriate environment for appropriate periods of time. Depositors and users must be clear that preservation of, and continued access to, the data is an explicit role of the repository. [DSA-WDS Common Requirements/V2.2]

CC1.1: Capability completeness of mission and scope

  1. Initial: There is some awareness of mission and scope, but this is not fully described and communicated. There is an intent to meet the specific objectives but there is no plan or strategy in place to do so.
  2. Partial: There is at least one required activity that is not present or not at a repeatable level. There is evidence that the direction the organisation is taking will lead to a complete capability in this area.
  3. Complete: All required activities are at least at a defined level. The organisation has evidentially a defined mission and scope that is well communicated.

 

SO1.1.1: Mission Statement

To have a mission statement that reflects the organisation's mission and commitment to the preservation of, long-term retention of, management of, and access to digital information.

 

RA1.1.1.1: Approved Mission

The organisation has received approval for its mission statement (e.g. mandated by funders, statement signed off by governing board, etc.).

(0) Not defined:

The organisation has not received any approval.

(1) Initial:

Some informal support from external stakeholders, no formal mandate, approval or contractual obligations exist.

(2) Repeated/partial:

There are some evidence to support the notion that the organisation and its activities receives approval from stakeholders; the organisation is on an ad hoc basis “encouraged” to continue its activities, but no formal mandate or formalised approval exist.

(3) Defined:

The organisation has a received formal approval through clearly defined mandate.

(4) Managed:

The organisation monitors changes in its organisational environment which may require re-approval.

(5) Optimised:

There are regular reviews of the organisational environment and if changes are made to the mission statement then an assessment is made of the need for re-approval and if required this is sought.

 

RA1.1.1.2: Mission Statement

There are explicit written statements on the role, mandate, purpose and mission of the organisation; the statements are available for anyone to read

(0) Not defined:

A mission statement does not exist.

(1) Initial:

There is some evidence that the organisation has recognised its mission (implicitly) but there are no formal, written documents to substantiate it.

(2) Repeated/partial:

There are some relevant outputs to support and substantiate the mission of the organisation, but they are only partially complete and/or inconsistent.

(3) Defined:

The organisation provides a written, formal and complete mission statement that is available for all relevant users.

(4) Managed:

The mission statement is aligned with policies, processes and procedure documents.

(5) Optimised:

There are regular reviews and updates of mission statement based on formalised communication with relevant stakeholders.

 

RA1.1.1.3: Define scope of the collection

As part of the mission statement, the organisation has defined an explicit scope for the repository and their collection, which guides the selection and appraisal of data.

(0) Not defined:

No defined scope.

(1) Initial:

Awareness of the need to define scope of the repository; there are some ideas of scope, but nothing is formalised or explicitly communicated.

(2) Repeated/partial:

Scope of collection is implicitly defined by selection/appraisal actions and routines; some types of data are repeatedly appraised, but no formal or explicit scope in place.

(3) Defined:

Scope of collection / repository explicitly defined and promulgated, e.g. by a collection policy or in an official mission statement. Statements on scope are either integrated into, or connected to, policies; policies are connected to specific processes and procedures.

(4) Managed:

The definition of scope is monitored for compliance with policies, processes and procedures; actions are taken where processes appear not to be aligned to scope, policy or mission statement; regular reviews of scope and mission of repository.

(5) Optimised:

Regular reviews and updates of scope based on monitoring of, and communication with, Designated Community and other relevant stakeholders; delimitation of scope based on benefit-cost analyses and measurements of repository performance.

 

RA1.1.1.4: Continuity of Access

The organisation has medium-term (3 to 5 year) and long-term (>5 years) plans in place to ensure the continued availability and accessibility of data in case the organisation ceases to operate (e.g. due to funding issues or other “crisis”).

(0) Not defined:

There is no evidence of a continuity of access, or is not applicable.

(1) Initial:

No contingency plans or only informal intent/agreements.

(2) Repeated/partial:

A partial plans in place, but limited in detail and scope.

(3) Defined:

Formal, written succession/contingency plans; formal written agreements with external organisational frameworks.

(4) Managed:

The organisation monitors its organisational environment to determine when to execute plans.

(5) Optimised:

There are regular reviews and updates to the plans and agreements to reflect changes in the organisation’s environment.

 

RA1.1.1.5: Guaranteed Period of Responsibility

The organisation has defined a guaranteed period of responsibility for data deposited with it (preservation period).

(0) Not defined:

There is no evidence of a guaranteed period of responsibility, or is not applicable.

(1) Initial:

No guarantees, only informal intent of long-term preservation.

(2) Repeated/partial:

Guarantees are given on a case by case basis.

(3) Defined:

Formal, written guarantees.

(4) Managed:

The length of time datasets has been held is measured. Designated community and funder requirements are assessed.

(5) Optimised:

There is a regular review of the guaranteed period.

 

SO1.1.2: Identification of types & formats of materials

The type and preferred formats of information for which the organisation is responsible is clear both internally and externally; criteria and justifications have been laid down for the selection of material.

 

RA1.1.2.1: Identify and prioritise the content types

The organisation has defined and established the types of materials that are to be preserved by the repository (e.g. by listing materials in order of priority, define a set of preservation categories or collection levels, etc.) and clearly communicates this.

(0) Not defined:

No definition; lack of awareness.

(1) Initial:

There is some awareness of the necessity of prioritisation of different materials; no formalised, written or published list.

(2) Repeated/partial:

Some materials are positively prioritised; partial definitions or list of materials that are to be prioritised and preserved; no definition or categorisation of material of lower or none prioritisation.

(3) Defined:

A written, formal definition and categorisation of materials to be preserved is available (in a policy or other documentation); materials not to be preserved or of lower priority are also explicitly defined; lists are promulgated and communicated to all relevant stakeholders.

(4) Managed:

Prioritisation and categorisations of content are regularly reviewed and updated, and are monitored for compliance with policies, processes and procedures; actions are taken where processes appear not to be aligned to prioritisation, policies or mission statement.

(5) Optimised:

At regular intervals a review of the selection criteria is conducted. The scope and criteria are updated based on monitoring of, and communication with, Designated Community and other relevant stakeholders; prioritisation of content based on benefit-cost analyses and measurements of repository performance.

 

RA1.1.2.2: Define preferred formats

The repository defines and publishes a list of preferred formats.

(0) Not defined:

No awareness; not defined.

(1) Initial:

Some preferred formats are defined internally and are communicated ad hoc/in a case-by-case manner; low awareness of format preferences of Designated Community.

(2) Repeated/partial:

Awareness of preferences of Designated Community is growing due to repeated contact and inquiries from users; lacks formalisation and explicit documentation.

(3) Defined:

A formalised and defined list of preferred formats that are appropriate for the Designated Community are made publicly available (on website, in a data policy, etc.).

(4) Managed:

Preferred formats are integrated into a defined data policy which is maintained and updated regularly; data policy and format preferences are communicated to all stakeholders.

(5) Optimised:

Regular reviews of data format policy; updates based on technology watch, monitoring of, and communication with Designated Community and other relevant stakeholders; reviews and assessments of data format preferences based on benefit-cost analyses and measurements of repository performance.

 

SO1.1.3: Designated Community

Designated (target) community or communities are clearly defined and needs of the community or communities are well understood.

 

RA1.1.3.1: Define Designated Community

The organisation has an explicit definition of a Designated Community.

(0) Not defined:

There is no evidence that a Designated Community (or communities) has been defined.

(1) Initial:

There is some awareness of the need to define a Designated Community. There is evidence of informal recognition that some communities are more relevant for the organisation’s activities than others. There is no formalised or written definition in place.

(2) Repeated/partial:

Regular interaction with (and outreach towards) selected communities; some communities are positively prioritised and there may be some partial or informal definitions of user communities in place. No formal, written statement is evident.

(3) Defined:

Designated Community is formally defined; definition is promulgated and communicated to all relevant stakeholders.

(4) Managed:

Procedures in place for regular reviews and updates of the definition of Designated Community (e.g. whether to expand, reduce or redefine).

(5) Optimised:

Definition of Designated Community is continuously reviewed and assessed based on benefit-cost analyses and measurements of repository performance.

 

RA 1.1.3.2: Monitoring of the specific requirements of the Designated Community

The organisation has mechanisms in place for monitoring the specific requirements of the designated community or communities which influence the services to be provided to the community or communities. The requirements “…might include data formats, media choices, preferences for software packages, new computing platforms, and mechanisms for communicating with the archive” [OAIS].

(0) Not defined:

There is no evidence of communication with the Designated Community or knowledge of the needs of these communities.

(1) Initial:

Some exchange of knowledge on and ad hoc basis, but no mechanisms for knowledge exchange exists.

(2) Repeated/partial:

There is regular knowledge exchange between the organisation and the Designated Community but tends to be informal, unstructured and not systematically recorded.

(3) Defined:

Formalised mechanisms for advice, feedback and knowledge exchange exists (e.g. external advisory committees, feedback mechanisms for designated communities, etc.); knowledge of requirements of the Designated Community is strong and is systematically recorded.

(4) Managed:

Mechanisms for knowledge exchange and the systematic recording are monitored and measured. Significant changes in requirements are communicated.

(5) Optimised:

At regular intervals the organisation reviews changes in the needs of the designated community or communities and adapts to the changes required. Mechanisms for feedback and knowledge exchange are adjusted and managed accordingly in accordance with the communication plan.