Digital Preservation MetaArchive Cooperative, Digital Preservation Policy Planning Workshop Boston College, Boston, MA October 26, 2010

Digital Preservation

MetaArchive Cooperative, Digital Preservation Policy Planning WorkshopBoston College, Boston, MA October 26, 2010


MetaArchive Cooperative Preservation Committee▪ Bill Donovan▪ Rachel Howard▪ Susan Parham▪ Mark Stoffan▪ Katherine Skinner▪ Matt Schultz

Schultz, Donovan, Howard, Skinner, 2010

Digital Preservation Policy Building University Libraries have begun the process

of engaging digital preservation▪ Performing digitization▪ Building digital libraries▪ Establishing institutional repositories

Digital Preservation Policies have often lagged behind digital preservation activities▪ The result is a myriad non-standard developments


Policies can also drive development and standardization

MetaArchive Preservation Committee Began reviewing successful policies▪ Found a lot of commonalities

Developed a Digital Preservation Policy Template

Developed a Digital Assets Survey


Session 1: Digital Preservation Trends Session 2: Preservation Policy

Overview Resource: Policy Template

Break Session 3: Planning for Policy

Development Resource: Digital Assets Survey

Session 4: Policy DevelopmentSchultz, Donovan, Howard, Skinner, 2010

Not a Final Product! We need your feedback!

We will have Q&A breaks and activities But feel free to ask questions anytime

We are taking a top-down approach to digital preservation – BIG POLICY DEVELOPMENT Not all institutions are the same Feel free to tailor our resources to any scaleSchultz, Donovan, Howard, Skinner, 2010



Session 1

What is Digital Preservation?Trends in Digital Preservation

The Goal:To understand the coalescing landscape of digital preservation requirements and consider the potential investments needed for developing a policy driven approach to digital preservation.


“The series of managed activities necessary to ensure continued access to digital materials for as long as necessary.”

- Definition from Digital Preservation Coalition


Centralized & Distributed Preservation Full & Bit-level Preservation Preservation Metadata Open Source solutions Focus on economies of scale and benefits Roles & Responsibilities Sustainability Standards and auditing metrics National mandates Avoiding silos & pursuing interoperability


Centralized preservation: Preservation activities managed by single

institution Examples:▪ Chronicling America▪ DAITSS

Distributed preservation: Preservation activities managed by multiple

institutions replicating and/or geographically locating collections

Examples▪ LOCKSS▪ MetaArchive Cooperative ▪ Chronopolis


Many archives doing a bit of both Something of a false dichotomy

Full Preservation Focuses heavily on format migration and

normalization (may still preserve the original)▪ Highly concerned with monitoring and intervening against

format obsolescence up-front

Bit-level Preservation Focuses primarily on preserving the original bits▪ Avoids migration, normalization, and monitoring up-front

and cites long-lived support or convertability of the majority of formats


PREMIS Administrative metadata Technical metadata Structural metadata Provenance metadata

Metadata standards are always under development – mark the moment to learn and continue to watch the horizonSchultz, Donovan, Howard, Skinner, 2010

Open source is a well recognized best practice at this point – real question is: How open?

Why Open Source? Avoiding proprietary solutions can guard against

dependencies and sudden loss Open source formats and technologies maximize

communities of support and ensure flexibility and long-lived solutions

Open source approaches dramatically reduce technology costs and can lead to building of expertise


Digital preservation needs are great at most institutions and digital preservation can be costly

You don’t have (shouldn’t try) to save everything!

Blue Ribbon Task Force on Sustainability Economies of scale can reduce staff costs Focus on communicating the benefits to the

institution aids in selection and prioritization▪ Prioritization crucial for offsetting costs▪ Define the institutional value of your assets


Partnering with other institutions to preserve content is becoming more popular Sharing resources and expertise reduces costs Maintains control over institutional assets rather

than handing over responsibility to third parties Consumers also becoming Producers and

Preservers of digital assets

Modularizing the chain of preservation activities (ingest, storage, dissemination) Microservices and interoperability


Many grant funded projects are short-lived or narrowly focused

Institutions have been pressured to just enter the game and hope for the best

Diverse revenue streams becoming essential

NDIIPP transitions to NDSA Emphasis on Collaboration Promoting self-sustaining cost modelsSchultz, Donovan, Howard, Skinner, 2010

Trustworthy digital repositories! Reference Model for an Open Archival

Information System (OAIS) - 2002 Trusted Repositories Audit &

Certification (TRAC) – 2007 Metrics for Digital Repository Audit &

Certification – awaiting ISO standardization


Scientists seeking funding will soon be required to submit data management plans – NSF Press Release (May 10, 2010)

Ensuring long-term accessibility and sharing of data and digital assets to improve research

There is no access without preservation A massive undertaking requiring top-

down institution-wide policies


Information, data, and research silos result from institutional management structures

Result is a multiplicity of practices and technologies that prevent sharing and re-use

An acknowledged problem We’re just getting started on solutions Institution-wide policies have potential to

help catalyze institutional change and break down silos




Session 2

Libraries as Ideal CuratorsPolicies as Catalytic SolutionsWhat is a Digital Preservation Policy?Building on Successful Digital

Preservation PoliciesPreservation Policy Template


The Goal:To get a glimpse into the higher level concerns that a digital preservation policy attempts to address and the statements used to reflect your Library’s strategic positions.


Libraries as Curators for the Public Good Only librarians understand and appreciate the needs of

their collections and their users Irreplaceable stewards of our collective cultural memory

Avoiding the Broker trap Constantly outsourcing preservation roles, services &

infrastructure may threaten institutional mission and societal role

Reversing the Trends Private LOCKSS Networks are enabling libraries to maintain

control of research data and digital collections IIPC is enabling libraries to preserve our shared Web

culture Can you think of some other examples?Schultz, Donovan, Howard, Skinner, 2010

Success of the MetaArchive Cooperative Reducing the cost for libraries to engage

preservation of their collections through shared resources and open source technology

Empowering libraries and other cultural memory institutions through growing expertise and embedding infrastructure in the libraries

Actively Addressing Trends in Digital Preservation


Policies can trigger collaboration and action!

Impacts of Institutional Policy Building Content Policy (MetaArchive Cooperative)▪ Solidified shared commitments while retaining

institutional flexibility ETD Preservation Policy (Boston College)▪ Defined institutional commitment and responsibility

and achieved administrative buy-in Other institutional policy examples▪ Promoting shared infrastructure (ISU)▪ Guaranteeing open access (FSU)▪ Pursuing reliable research (Georgia Tech)


“Digital preservation policies document an organization’s commitment to preserve digital content for future use; specify file formats to be preserved and the level of preservation to be provided; and ensure compliance with standards and best practices for responsible stewardship of digital information.” From Long Definition of Digital Preservation,

prepared by the ALCTS Preservation and Reformatting Section, Working Group on Defining Digital Preservation, accessed at http://www.ala.org/ala/mgrps/divs/alcts/resources/preserv/defdigpres0408.cfm.Schultz, Donovan, Howard, Skinner,

2010


Digital Preservation Policy Template General Questions for Feedback

▪ Are there additional policy sections that would be helpful for your institution to define?▪ What are the policy areas that would require the

most effort at your institution to define?▪ How and where would such a policy be promoted and

publicized?▪ Who are the most important audiences for a policy of

this type?




















Session 3

Libraries Leading the WayPolicy Building Costs & BenefitsPolicy Preparation


The Goal:To familiarize policy developers with the assessment and development activities that may need to take place to bridge policy with reality.


First Steps Get the green light from upper library

administration to form an exploratory team▪ Who would lead this charge at your

institution?▪ What does that process look like?▪ How are such teams formed?▪ Anticipate the politics?


Establish an exploratory committee of: Library Heads Digital Librarians and Archivists Content/Collection Specialists Catalog Specialists…

…to research and define: Policy Building Costs & Benefits Policy Preparation


Define the costs of not preserving your institution’s digital assets Operational Costs? Scholarly & Scientific Research? Institutional Reputation?

Define the potential benefits of building an institutional policy Integrated Workflows and Cost Reductions On-going Scholarly Access and Use (re-use) Digital Expertise and Leadership in the Field


Define the costs of building a policy Dedicating staff hours Building inter-departmental cooperation New administrative, departmental, and

library staff training and procedures New technology & infrastructure

investments Exploring legal obligations (IP, Partner

Institutions, etc.) Other?Schultz, Donovan, Howard, Skinner, 2010

Preparing to build a Digital Preservation Policy for your institution requires a thorough assessment of where you are and where you should be – let’s take a look!


We’ll get to these later: Policy Statement Summary Statement

Let’s start with: Scope & Selection Criteria


Defining digital assets at your institution Digitized (Ex: scanned newspapers) Born-digital (Ex: websites) Electronic records (Ex: spreadsheets, databases, emails) Digital Research Data (Ex: raw sensor data)

Where do your digital assets reside? At the departmental & unit level? Outside your

institution?

Who are the major producers and consumers? Researchers? Scholars? External parties?

Can they be deposited for preservation? To what extent?Schultz, Donovan, Howard, Skinner, 2010

Digital Assets Survey Points for Feedback▪ What additional questions might you ask?▪ What questions seem extraneous or

problematic?▪ What form should this take for your

institution? Paper survey? Electronic?▪ How would results be gathered?▪ How would you follow-up with respondents?


Summarize the resource groups (e.g., units, departments, or external parties). Who are the departments and

individuals you might need to coordinate with to facilitate a successful survey distribution to all the potential resource groups that might exist across your institution.


Outlines the way decisions are made regarding what will be preserved. Based on survey feedback and follow-up

interviews with resource groups, can begin to grasp the range of digital assets, their preservation needs, and how they should be prioritized for selection.


Summarize the lifecycle management practices of the institution. Perform a technical assessment of your

Library’s existing approaches and capacity for creating, and maintaining digital assets.

Factor in a organizational structure, staffing and skill sets.

Address issues of quality control


Technical Assessment Library IT and Campus IT - Relationships Hardware & Software Policies and Purchasing Storage & Storage Management

Environment(s) Existing Back-Up Measures or Archiving

Practices Inventory and File Management Quality Measures and Replacement Cycles


Organizational Structure/Staffing Identify duties required to support digital

preservation Identify staff with adequate skills and

expertise to fulfill those duties Review staffing plans, position descriptions,

develop a matrix of duties and staff skills and expertise

Implement professional development training


Quality Control Identifying acceptable files & formats Defining preservation levels and

migration policies Building a Preservation Plan Enforcing risk assessment and technical

evaluation schedules


Provide an overview of methodologies and philosophies undergirding preservation activity Communicate position toward trustworthy

preservation by identifying steps taken to ensure use of standards (OAIS), transparency (willingness to engage in audit and review - TRAC) and accountability (making documentation available).


Detail who is involved and at what level they are involved. Who is charged with preservation responsibility? Preservation responsibility will

undoubtedly be a joint endeavor (particularly between your Library, campus IT, and other external parties) and policy should reflect solidified agreements between all parties charged with responsibility.


Central Administration Evaluators? Enforcers? Consultants?

Institutional Departments & Units Producers? Evaluators? Curators? Consultants?

Librarians & Archivists Preservation Services? Curators?

Designated Community Consumers and Users?

External Partners Producers? Consumers? Preservation Services?

Evaluators? Vendors

Preservation Services? Consultants?


Describe policy/policies for ascribing metadata to preservation objects. Metadata is increasingly becoming central

to trustworthy preservation, and statements of policy should be able to articulate your Library’s position on responsibility for capturing some level of preservation metadata, and the role it will play in managing that metadata on behalf of the digital objects you collect.


Document policies around permissions and access of preserved content. Consult with legal representatives for your

institution Research rights issues related to digital

preservation Limit your liability and develop a strategy

for breach of copyright and removal of offending content


Considerations: The right to change or alter digital information

is often limited by law to the creator Digital program contracts must address the

need to be able to work with and potentially modify digital objects to keep them accessible.

Agreements with depositors must specify and/or transfer rights to the program enabling appropriate and necessary preservation actions for the digital object.

Third party organizations should guarantee that relevant contracts, licenses, etc express rights, responsibilities and expectations of each party.


Establishing the options for access and use of your institutions’ digital assets will go a long way toward both defining what sorts of management and dissemination workflows might need to be developed, as well as how to communicate the terms of such access and use.


Define your institution’s relationship to other institutions, and whether it may partner to accomplish preservation. Rights & Agreements▪ Navigating the rights issues related to the

digital objects that fall under your Library or institution’s preservation responsibility will go a long way toward articulating the terms under which partnerships can be pursued to further preservation development and activities.


Document expected costs and who shoulders the responsibility for those costs. Policies should confidently communicate an

acknowledgement of the types of preservation activities that are in need of on-going financial support and general strategies that the Library will pursue to ensure that these activities will be adequately supported. Policy statements should be under-girded by responsible financial planning, accounting, and management.


Financial Sustainability: Sustainable Management & Financial

Plans Multi-Year Budget▪ Factoring in financial cycles

Review Schedules (annual) Seek diverse revenue streams to support

preservation activities


Acknowledge the challenges the institution/field faces in preserving digital collections. Remember Trends in Digital Preservation Perform Risk Assessment


Trends in Digital Preservation Centralized & Distributed Preservation Full & Bit-level Preservation Preservation Metadata Open Source solutions Focus on economies of scale and benefits Roles & Responsibilities Sustainability Standards and auditing metrics National mandates Avoiding silos & pursuing interoperabilitySchultz, Donovan, Howard, Skinner, 2010

Risk Assessment Committing to analyze and report on risk,

benefit, investment and expenditures Identifying the real and potential threats to

the digital preservation program, the digital collections, producers and consumers

Should include an inventory of file formats, technology infrastructure, legal mandates, staffing, etc.


Give an overview of any outreach and education activities undertaken by the institution. Champion your policies Share your development Develop workshops Join coalitions and working groups Know your sphere of influence Be open to learning!Schultz, Donovan, Howard, Skinner, 2010

Policy StatementSummary Statement


A simple statement that relates digital preservation to the institution’s mission and the communities it serves. Review your institutions broader mission

statements Consider other legal, ethical, and policy

mandates Articulate the needs and the opportunities

related to your institution’s resource groups


A set of simple paragraphs that summarizes the overall intent of the institution. Why does it preserve content (e.g.,

institutional, legal, consortial obligations)? Who wrote this policy? How often is this policy re-evaluated and by

whom?


Date/AuthorRelated DocumentsDefinitions/Glossary




Session 4

Moving the Committee ForwardPolicy Development ProcessPolicy Development TimelineGetting Policy Approval


Secure the input of reliable policy enablers and force multipliers (Faculty? Staff? Other?) Use the survey to generate interest and support▪ Identify most interested departmental or unit

stakeholders▪ Identify faculty in key positions of influence▪ Don’t forget campus IT!

Who are these people at your institution? How would you get them involved?


Discuss your policy preparedness

Discuss your institution’s identified digital assets Digital Assets Survey

Draft an institutional digital preservation policy Digital Preservation Policy Template

Develop a roadmap to implementation Account for under-resourced policy areas


Process will require substantial faculty commitment and participation so timing is critical

Avoid the beginning and end of semesters and the summer as so many faculty are preoccupied or away

At least a year or more might be required to gain support for a preservation policy.Schultz, Donovan, Howard, Skinner, 2010

Establish regular reporting to Deans and Provosts on progress toward benchmarks Face-to-face meetings

What does upper administration need to know to sustain and ultimately give approval? Point to institutional Mission and Vision Point to cost savings & benefits▪ Tie to operational costs, research needs & reputation

Address digital preservation needs & trends Suggest a viable roadmap to implementation

How might this need to be packaged to be concise and effective for your institutions?


Digital Preservation Policy TemplateDigital Assets Survey


Will populate after final feedback from Pres-Comm

Need to list universities whose policies we referenced

Need to point to the role of consultants
