Barbara Sierman, the National Library of the Netherlands, presented ‘Policy levels in SCAPE’ at the iPres2013 conference in Lisbon, Portugal, in September 2013. The policy work is part of the SCAPE project and is based on an analysis of digital preservation policies from partner institutions.

1. Barbara Sierman
Catherine Jones, Gry Elstrøm, Sean Bechhofer
iPRES 2013
Lisbon, 5-9-2013
Policy levels in SCAPE

2. “Without a policy framework a digital library is little
more than a container for content”
(DL.Org : Digital Library Technology and Methodology Cookbook)
2
Why 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).

3. 3
Policies in practice
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).
Parse-Insight survey 2010NDSA Web Archiving Survey 2012

4. 4
Policies in practice
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).
Canadian Heritage Information Network, 2011
http://bit.ly/16HS7Cj

5. Analysis policies found on the Web M.Sheldon (LoC)
• Libraries
• Archives
• Museums
Nothing compared to all organizations that preserve
digital collections!
5
Policies in practice
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).

6. But you are working daily with policies!
• Making decisions for a preservation system
• Acquiring content for preservation
• Developing ingest workflows
• Plan preservation activities
• Training staff
• Planning budgets
• Answering to surveys
• Etc.
6
Policies in practice
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).

7. • Consistency
• Transparency
• Accountability
• Knowledge exchange
• Interoperability
7
Why (documented) 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).

8. • SCAPE is about:
• Scalability: many & complex
• 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)
• Goal: creation Catalogue of Policy Elements
8
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).

9. 9
Policy work 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).
PRESERVATION PROCEDURE
POLICY
(Machine Readable)
GUIDANCE POLICY
CONTROL POLICY
Humanreadable
Overview of main topics
(Top management))
Catalogue of policy
elements
(Middle Management)
Model, controlled
vocabulary
(DP specialists)

10. 10
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).

11. •Describes the approach to achieve the goals
•Human readable
•Generic but more detailed
•Should be leading for Control Policies
•On Department Level
11
Preservation Procedure Policies (PPP)
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).
PRESERVATION
PROCEDURE POLICY
Control Policy
GUIDANCE POLICY

12. • 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
• What need to be in place to make Control Policies ‚usable“
• Related to
» Preservation Watch
» Preservation Planning
• Relevant literature
• Example from real life policy.
12
Catalogue of policy elements
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).

13. Related to “preservation case”
• A collection
• An audience (“Designated Community”)
• A preservation activity
• Defined by Objectives with measurable attributes
• Objectives related to Guidance Policies
• Example: identification, migration
• Use of controlled vocabularies (RDF, OWL and SKOS)
• Development of supporting tool to create CP’s
• See http://www.scape-project.eu/
13
Control 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).
PRESERVATION
PROCEDURE POLICY
Control Policy
GUIDANCE POLICY

14. 14
The control policy model
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).

15. • Based on 2 existing policies (SB and STFC)
• Based on step-by-step process
• Identify Content Set, Identify User Community
• Map relevant policy statements to Guidance level
• (Later: Using the Catalogue of Policy Elements)
• Identify Preservation Case & Objectives
• Generate Control statements
• Review Preservation Case
• Next step: validating with external policy
15
Practical exercise: creating Control 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).
PRESERVATION
PROCEDURE POLICY
Control Policy
GUIDANCE POLICY

16. Findings:
• Human readable CP intermediate version needed
• Measurable objectives/attributes not easy to phrase
• Worthwhile to make implicit information more explicit
• Used policies were too generic
• Input from other documents needed
• “Lessons learnt” input for Catalogue of Policy Elements
16
Practical exercise: creating Control 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).

17. • 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
• Interoperable via standards like RDF,OWL
• Will facilitate machine readable/actionable
preservation activities
17
To summarize
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).