(0) Not defined:

No transfer mechanisms in place; no functional differentiation between deposit (ingest) and storage.

(1) Initial:

The ingest and preservation/storage processes are distinguished as two separate functions; deposited material are transferred to storage, but there are no written processes descriptions or procedures in place; most material is transferred as-is.

(2) Repeated/partial:

Most material is transferred to a separate preservation function; there is a distinction between curation (i.e. what to preserve, maintain and add value to) and storage (i.e. simple bit preservation); prioritised data are migrated to the repository’s own preferred formats, and/or other non-proprietary/portable formats; processes are informal and there are no written procedures in place.

(3) Defined:

There are formalised processes and procedures in place for transferring data to permanent storage; roles and responsibilities are defined and connected to tasks; clear distinction between the different functions and mechanisms; procedures are available to users; explicit choices are made concerning data formats (open, portable, non-proprietary).

(4) Managed:

Tasks and processes are integrated into high level policies and objectives; there are regular reviews and updates of processes and procedures; staff training preservation procedures are in place; some automation may be in place.

(5) Optimised:

All tasks, processes and functions are monitored and measured; systemised reviews and updates of migration procedures based on technology watch and communication with, and outreach towards, Designated Community (e.g. preferred formats, etc.).

(0) Not defined:

No system for persistent identification.

(1) Initial:

There is some awareness of the need for persistent identifiers and locators, but actions are sporadic and ad hoc; there are no formalised systems, processes or procedures in place.

(2) Repeated/partial:

Mechanisms and systems for identification and location are partly in place (e.g. there may be a certain directory structure or hierarchy to make the locating of data easier), but does not comply with formalised DOI systems; mechanisms are being repeatedly used, but there is lack of formalisation and written procedures.

(3) Defined:

There are mechanisms and systems in place to persistently identify and locate data and metadata (either by following external systems like DOI, or by internal PID systems); all processes and procedures are documented and formalised.

(4) Managed:

PID systems and locators are regularly reviewed and updated; mechanisms are aligned to higher level preservation goals and plans.

(5) Optimised:

All mechanisms and functions are monitored and measured; there are systemised reviews and updates of PID systems based on technology watch.

(0) Not defined:

No versioning or backups.

(1) Initial:

Most material is stored as it was deposited; some deposited material is processed (through versioning) and backed up in separate volumes/drives; no formalised strategies or procedures in place.

(2) Repeated/partial:

Deposited material is backed up and/or made into several versions (e.g. deposited version, preserved version, corrected version, etc.), but versioning procedures are performed on an ad hoc and individual basis; formalised processes, procedures and documentation are lacking.

(3) Defined:

All deposited material is processed and safely stored through version controls and backups; all processes and procedures are defined and formalised in written documentation.

(4) Managed:

There are regular reviews and updates of backup and version control processes and procedures; procedures are aligned with preservation plans

(5) Optimised:

All procedures and functions are monitored and measured; there are systemised reviews and updates of backup and version control systems based on technology watch.

(0) Not defined:

No preservation authentication mechanisms in place.

(1) Initial:

Some awareness of the issue; authentication mechanisms are unorganised and there are no formalised processes in place.

(2) Repeated/partial:

Some authentication and safeguard mechanisms are in place (e.g. access/edit rights are limited, roles and responsibilities are defined), but lacks formalisation.

(3) Defined:

Authentication measures and mechanisms are in place; formalised and defined in written documents; all roles and responsibilities are defined.

(4) Managed:

Regular reviews and updates of authentication mechanisms.

(5) Optimised:

All authentication and safeguard mechanisms are systematically reviewed and updated based on technology watch and is aligned to wider repository preservation planning.

(0) Not defined:

No awareness of the issue; no checks performed

(1) Initial:

Fixity checks are performed ad hoc and on an individual basis; processes and procedures are not formalised or defined.

(2) Repeated/partial:

Fixity checks are repeatedly performed but there is a lack of coordination and documentation of actions and processes.

(3) Defined:

Fixity checks are performed on all data; processes and procedures are documented and formalised; fixity checks are partly of fully automated.

(4) Managed:

Fixity checks routines are regularly reviewed and updated.

(5) Optimised:

Fixity checks are systematically reviewed and updated based on technology watch and preservation planning; high level of automation (fully automatised).

(0) Not defined:

No awareness; no strategies or procedures in place.

(1) Initial:

Procedures for dealing with errors or unwanted changes are performed ad hoc and on an individual basis; processes and procedures are not formalised or defined.

(2) Repeated/partial:

Procedures for dealing with errors or unwanted changes are repeatedly performed but there is a lack of coordination and documentation of actions and processes.

(3) Defined:

Processes and procedures for dealing with error detections and unwanted changes are documented and formalised; processes are partly of fully automated.

(4) Managed:

Processes and procedures for dealing with error detections and unwanted changes are regularly reviewed and updated; some automation may be in place.

(5) Optimised:

Processes and procedures are systematically reviewed and updated based on technology watch and preservation planning; high level of automation (fully automatised) where relevant.

(0) Not defined:

No awareness; no metadata added.

(1) Initial:

Preservation metadata are added on an ad hoc basis; no formal metadata standards are being applied; no formal documentation of processes and procedures.

(2) Repeated/partial:

Routines for adding preservation metadata are repeatedly in use; metadata standards may be applied but here are no official statements or documentation of its use.

(3) Defined:

A written formal specification of routines for adding preservation metadata is explicitly defined (e.g. in a preservation policy); repository uses controlled vocabularies and metadata standards that are used and can be understood by Designated Community (e.g. DDI).

(4) Managed:

Usage of preservation metadata and metadata standards are regularly reviewed and updated; documentation and metadata processes and procedures are aligned with policies: regular reviews and assessments (of success) of preservation metadata routines.

(5) Optimised:

Regular reviews and updates of processes and procedures based on feedback from designated communities; and on monitoring of technology (format/standards) and designated communities.

(0) Not defined:

Not applicable; no awareness

(1) Initial:

There is no preservation policy where data storage is addressed; data storage processes are performed on an ad hoc basis. The repository deals with the data storage issues on a case-by-case basis.

(2) Repeated/partial:

The preservation policy is not formally defined, but there are some repeatable procedures in place; data storage processes follow a regular pattern - they have developed to the stage where similar procedures are followed by different people undertaking the same task.

(3) Defined:

A preservation policy is defined and it is connected to specific processes and procedures.

(4) Managed:

The preservation policy is monitored and measured for compliance with processes and procedures; actions are taken where processes appear not to be working effectively or not to be in accordance with the policy.

(5) Optimised:

Processes and procedures are measured and assessed; processes, functions and mechanisms are under constant improvement and continuously integrated into the preservation policy.

(0) Not defined:

No evaluations of content.

(1) Initial:

Low awareness; repository is in the content build-up phase rather than the evaluative phase; any evaluations that are done are performed irregularly by individuals, on an ad hoc basis.

(2) Repeated/partial:

Repository has established its main (types of) content; partial evaluations are performed repeatedly, but there are no formalised evaluation processes or procedures in place.

(3) Defined:

Evaluations are formalised and performed at regular intervals; evaluations are performed in line with formalised processes and procedures (e.g. checkpoint lists, schedules, etc.); all processes and procedures refers to and are in line with strategies and policies; recognised tools may be applied regularly (e.g. PLATO and/or DRAMBORA).

(4) Managed:

Evaluation processes and procedures are regularly reviewed and updated, and are coordinated with other preservation planning activities; content and the general preservation environment are subject to measurements and quantifications where relevant; staff training evaluations are in place.

(5) Optimised:

Evaluative processes and procedures are subject to regular reviews and updates based on measurements and assessments; mechanisms in place for adopting results of technology watch; staff training routines are regularly reviewed and updated.

(0) Not defined:

No monitoring.

(1) Initial:

Ad hoc or irregular monitoring; no systematic approach, some monitoring performed by individuals; no formalised reporting, some staff communicate what they have found.

(2) Repeated/partial:

Monitoring performed regularly, but are not formally defined into specific monitoring activities and systems; some reporting but lacks formalisation.

(3) Defined:

Feedback accomplished through periodical surveys, formal review processes, and/or via community workshops or other formalised meeting points; systems for registering feedback are in place; outputs of monitoring are formally reported. A role is responsible for gathering, monitoring and analysing changes in technology and best practices.

(4) Managed:

Coordinated with other preservation planning activities and higher level strategies; regular reviews and updates of monitoring strategies.

(5) Optimised:

Periodical reviews and evaluations of surveys, review processes and feedback mechanisms; there are mechanisms in place for reporting and integrating the evaluation results into higher level preservation strategies.

(0) Not defined:

No preservation strategies in place.

(1) Initial:

Informal, ad hoc ‘contingency action points’ are in place, but a full comprehensive strategy is lacking; action points are not formalised or connected to a policy.

(2) Repeated/partial:

Contingency action points have matured into a partial strategy; only partly formalised and documented.

(3) Defined:

Fully formalised and documented preservation strategy in place; connected to preservation policies and repository strategies, and to processes and procedures.

(4) Managed:

Strategy is periodically reviewed and updated.

(5) Optimised:

Usage of strategy is measured and assessed; processes, functions and mechanisms are under constant improvement and continuously integrated into the strategy and the higher level policies.