This presentation was given as part of a SCAPE Training event on ‘Effective Evidence-Based Preservation Planning’ in Aarhus, Denmark, 13-14 November 2013. Barbara Sierman, Koninklijke Bibliotheek in the Netherlands, introduced the policy concept, previous work on policies and the work that has been done within SCAPE on preservation policies. SCAPE will build a catalogue of policy elements with three levels – guidance, preservation procedure, and control policies.

1. Preservation Policy in SCAPE
Barbara Sierman
SCAPE Training
Statsbiblioteket, Aarhus , 13-14 November 2013

2. Overview
“Preservation Policy: Written statement authorized by the
repository management that describes the approach to be
taken by the repository for the preservation of objects
accessioned into the repository. “ (APA)
• Policies in general
• Policies in SCAPE
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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3. PreservationPolicies: current state of affairs
• Guidelines to create policies
• Platter: Planning Tool for Trusted Electronic Repositories
http://www.digitalpreservationeurope.eu/platter/
• Drambora http://www.repositoryaudit.eu/
• Audit and Certification of Trustworthy Digital Repositories (ISO 16363)
http://public.ccsds.org/sites/cwe/rids/Lists/CCSDS%206521R1/Attachments/652x1r1.pdf
• Digital Preservation Policies Study
http://www.jisc.ac.uk/publications/reports/2008/jiscpolicyfinalreport.aspx
• http://www.dcc.ac.uk/resources/policy-and-legal/policy-tools-and-guidance/policy-toolsand-guidance
• …
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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4. Policies: current state of affairs
EU- Research that underpin the importance of preservation policies
•
Planets project
If a policy was present, preservation was better in shape
(more money, plans and awareness)
Raising awareness related to preservation of research data
Policies as a means to become interoperable
Relating policies to business processes
Several EU projects now running have policies as a theme
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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5. Preservation Policies: current state of affairs
Survey in the preservation community
• Often indication that policies are (partially) in place
• NDSA survey about webarchiving
• Parse Insight survey in research data
• Canadian Heritage survey amongs 350 members (2011)
• …
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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6. Policies in practice
Analysis policies found on the Web M.Sheldon (LoC)
• Libraries
• Archives
• Museums
Just a few, compared to all organizations that preserve
digital collections!
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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7. Some policy examples
• http://wiki.opf-labs.org/display/SP/Published+Preservation+Policies
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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8. Why policies?
“Without a policy framework a digital library is little
more than a container for content”
(DL.Org : Digital Library Technology and Methodology Cookbook)
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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9. Is life easier without policies?
• You can adapt your actions to changing situations
• Risk: lack of consistency
• You’re not bound to (external) promises
• Risk: lack of transparancy and trust
• You might take quicker decisions
• Risk: decisions might be ad hoc and not be related to
organisational goals
• You can have your own preservation eco system
• Risk: lack of accountability and interoperability
• You can follow your own insights
• Risk: isolation
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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10. Reasons to create preservation policies
1. Consistency & coherence in your approach of DP
2. Transparency about your activities
• to your staff
• over generations (provenance)
3. Accountability:
•
•
to funding bodies and
to general public
4. Knowledge exchange amongst colleagues
5. Interoperability: sharing
6. To make automatic processing possible
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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11. Policies in SCAPE
• SCAPE is about:
•
•
•
•
Scalability: many digital objects & complex objects
Large scale activities cannot be done manually
(automated) Quality Assurance
Development of “policy driven preservation actions”
• Requires detailed, machine readable policies
• Consistent with (a combination of) higher level policies
• Two target areas:
• Preservation Watch (SCOUT)
• Preservation Planning (PLATO)
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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12. Preservation Policy Levels
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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13. Guidance policies
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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14. Preservation Procedure Policies (PPP)
•Describes the approach to achieve the goals
•Human readable
•Generic but more detailed
•Should be leading for Control Policies
•On Department Level
Guidance
Preservation
Procedure
Control
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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15. … in the near future (2014)
Procedure
SCAPE Catalogue of Preservation Policy Elements
Digitalbevaring.dk
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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16. Main chapters in the catalogue
Access
Authenticity
Bit preservation
Functional preservation
Metadata
Object
Organisation
Rights
Standards
TDR
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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17. Descriptions in the Catalogue
1.
2.
3.
4.
5.
6.
7.
8.
9.
Definition of the Preservation Procedure Policy element
Reference to Guidance Policy (consistency)
Description why this PPP is important
Risk of not having described this PPP
Needed in which stage of the Digital Life Cycle (DCC
model)
Cross reference to other PPP elements
Stakeholder for this policy (Shaman DP stakeholders)
Control Policy related to this
Relevant literature
10. Example from real life policy.
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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18. Example
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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19. To summarize
•
•
•
•
•
Building a Catalogue of Policy Elements
3 related levels of SCAPE Preservation Policies
Lead to a consistent architecture of policies
Catalogue will support creation of Control Policies
Will facilitate machine readable/actionable
preservation activities
This work was partially supported by the SCAPE Project.
The SCAPE project is co‐funded by the European Union under FP7 ICT‐2009.4.1 (Grant Agreement number 270137).
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