1. Co-funded by the European Union under FP7-ICT-2009-6 Co-ordinated by aparsen.eu #APARSEN Stream 3: Non-technical research Achievements and future plans Sabine Schrimpf, s.schrimpf@dnb.de Deutsche Nationalbibliothek APARSEN Third Review Meeting Frankfurt, 13 February 2014

2. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN APARSEN Stream 3: Non-technical research The Stream 3 WPs deal with the issues arising from the concerns about preservation from the economic, legal and social point of view Topics: Sustainability, Access, Trust List of work packages within the stream –WP 32 Cost/benefit data collection and modelling (M11-30) –WP 36 Business Cases (M11-30) –WP 31 Digital rights and access management (M27-38) –WP 35 Data Policies and Governance (M27-38) –WP 33 Peer review & 3rd party certification of repositories (M4-16) Sustainability Access Trust

3. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN APARSEN Stream 3: Non-technical research Overall summary of the work within the the stream –WP32 analysed and tested selected cost models and addressed the relationship between costs and benefits. The results provide cost model users with a greater understanding of the models available and can help in adapting existing models to individual needs. –WP 36 analysed exemplar business cases and drew up guidelines for making compelling value propositions for digital preservation –WP 31 conducted a study of Digital Rights and Access Management within the context of digital preservation. It offers recommendations and best practices for dealing with digital rights and DRM protected objects –WP 35 researched data policies and governance models and drew up guidelines for drafting/updating data policies to enhance interoperability

4. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN Overall summary of the work within the stream: Dissemination –Workshop at IDCC 2013: “Sustainability and the APARSEN Network of Excellence (Amsterdam, January 2013) –Workshop at LIBER 2013: 'Preparedness for Digital Preservation‘ (Munich, June 2013) –Training event: Trust and Digital Preservation (Dublin, June 2013) –Webinar: Sustainability and Cost Models for Digital Preservation (June 2013) –WP 32, 33, 36 presented at the DP Advanced Practitioner Training (Glasgow, July 2013) –Webinar: Certification of Digital Preservation Repositories (Dec. 2013) –Training event: 'Sustainability: Securing the value of digital data assets' (The Hague, December 2013) APARSEN Stream 3: Non-technical research

5. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN APARSEN Stream 3: Non-technical research Gantt chart for stream 3

6. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN APARSEN Stream 3: Non-technical research Milestones in Reporting Period 3 –MS 4: Integration of topic: Sustainability (M27) –MS 7: Integration of topic: Access (M36) Deliverables in Reporting Period 3 –D32.2: Report on testing of cost models and further analysis of cost parameters (M30) –D36.2: Exemplar business cases for each of the stakeholder groups (M30) –D31.1: Report on DRM preservation (M36) –D35.1: Exemplar good governance structures and data policies (M36)

7. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling

8. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling Duration: November 2011 (M11) – June 2013 (M30) Objectives of WP –To evaluate and test cost models for the preservation of digital objects Relevance to APARSEN –The results of this WP will be used to provide advice and guidance on the use of cost models, although it should be noted that the findings of the two reports show that currently there is limited use of cost models in practice and that they are not generally easy or adaptable at this current time

9. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling The approach of the WP (1 of 2) –Research undertaken:  published cost models were analysed at cost parameter level  three cost models were tested  cost models and benefits were analysed –We made recommendations on:  the use of cost models  future development of cost models through analysis and testing  ease of use of cost models through in-depth testing of three cost models

10. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling The approach of the WP (2 of 2) –Methodology adopted:  for analysis of cost parameters was successful  the testing phase proved to be difficult due to the unavailability of test data. This was overcome by using test data validating existing models  given the effort available, in-depth testing was undertaken for three models selected where there was detailed knowledge  cost models and benefits analysis was limited as not many cost models look at benefits within the scope of their models –Our work has been successfully reviewed by the 4C project who found our approach and findings useful

11. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling Main achievements/findings in the period provided in D32.2 –Analysis of cost model parameters finalised to a more detailed level; recommendations provided on areas for further investigation and development –Testing of cost models provided an insight into effective cost data modelling in providing costs of digital preservation services and the digital preservation lifecycle. Advice on future developments focussing on adaptability and usability for a wider audience and the creation of new models is given –Relationship between costs and benefits provided, in viewing cost models within the wider scope of business cases, benefits can be more easily aligned with cost models –Links to 4C co-ordination action, outputs of our research are being used  Presentation at 4C workshop 'What does it cost? EU activities to assess the cost of digital curation‘ at iPres 2013 (Lisbon, Sept 2013)

12. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling Implications for common vision and VCoE –Although limited use of cost models is currently being undertaken the advice and guidance we can provide, through training, can provide cost model users with a greater understanding of the models available and can help in adapting the models available to their own individual needs –Linking to value, impact and benefits and to business cases will provide a valuable resource to the DP community

13. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP32: Cost/benefit data collection and modelling Future plans –Provide training material related to this deliverable within the topic of sustainability and in line with the common vision

14. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP36: Business Cases

15. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Objectives Objectives –devise a methodology for implementing the recommendations of the Blue Ribbon Task Force (BRTF) on economically-sustainable digital preservation (http://blueribbontaskforce.sdsc.edu)http://blueribbontaskforce.sdsc.edu –a roadmap that will produce a diagnosis of the current landscape, give pointers to research libraries and tell them what they should be doing, by when and how to ensure they will be properly fit for managing research data in the long run and under sustainable conditions...

16. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Importance for APARSEN to show how Libraries organisations, national level, are ready for promoting/supporting/ undertaking economically-sustainable digital preservation and where the gaps are. to make possible to provide targeted recommendations (roadmapping) to stakeholder communities at national level on how to improve their role in supporting/providing permanent access to digital resources. to build sound business arguments that include cost avoidance, cost recovery and related issues in order to respond and engage with different stakeholders for ensuring an economically-sustainable digital preservation to build up a list with best practice/successful cases of implementation of preservation business models to provide data for the validity and applicability of the various cost models for digital preservation activities (WP32 Cost/Benefit Data Collection and Modelling)

17. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Main achievements D36.1 Bussiness Preparedness Report (M26) –Depicts the level of preparedness of European institutions, charged with the mission of securing the permanent access to digital materials/records of science. D36.2 Exemplar business cases in DP (M30). The report provides: –a qualitative analysis and extrapolates best practices from exemplar cases of implementation of preservation business models –information on how the main initiatives of EU institutions (mainly libraries and archives) and agencies, based on information collected from exemplar cases, link to the BTRF recommendations on economically- sustainable DP –guidelines for designing DP strategies aimed at managing data in the long run under economically sustainable conditions.

18. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Methodological approach Exemplar Business Cases + Roadmapping −Desk Research  gathering data and information –Fieldwork tasks  attending DP events  performing semi-structured in-depth interviews with exemplary DP stakeholders –Integration of fieldwork tasks qualitative results with the quantitative findings from the APARSEN preparedness survey (D36.1)

19. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Exemplar Business cases: findings (1) Cases represent the DP intermediate demand side –common key element : DP is at the heart of the organisation’s strategy and key investment decisions Implementation of DP varies significantly in terms of financing methods, methodological approach, scope, technological solutions, expertise –dominant approach seems to be that of sharing resources, costs and expertise through collaborations and/or networks Organisation’s budget is the main funding source for DP –Business models & cost models are applied only to a few cases but not always in a formal manner

20. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Exemplar Business cases: findings (2) The need for economies of scale is quite often mentioned –but until now only a few cases have something concrete to report. The need for collaboration as the only or as a very useful way to implement DP in a successful and sustainable way in the long term is reported almost in every case.

21. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Guidelines for economically sustainable DP implementation (1) DP Policy building blocks –Setting up the Value Proposition  Segmentation strategy enables the “relevant for our targeted customers” condition  Positioning deals with the creation of the differencing factor  Strategic fit secures the measurability of the impacts –Need to formalise and document the Strategy –Basic principles and behaviour patterns  Robustness of the strategy  Co-operation as the fundamental style of management  Proper flow of information, geared through a Communication Plan for the DP policy formulation and deployment

22. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Guidelines for economically sustainable DP implementation (2) Deployment in practical terms, actions for organizations to take to ensure sustainable DP –Advocate for digital legal deposit legislation –Integrate DP into organization workflows –Share best practice and experiences –Innovate –Trust

23. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 36: Business Cases: Implication for common vision and VCoE Supports evidence based advisory services to VCoE members and others on understanding of the validity and applicability of the various models which are available. Provide important information to contextualise DP needs and demands for the formation of appropriate cost models Provide material needed for training about costs and business models Enable the VCoE to be a source of a selection of tools and case studies.VCoE Contribute with new terminology to be introduced and integrated into the Glossary.

24. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP31: Digital Rights and Access Management (DRM)

25. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM – Objectives and Tasks Examination of techniques how to deal with DRM protected digital objects and identification of best practices for preserving the usefulness of their associated Digital Rights. Review the work that has been done into DRM requirements and preservation and work out why long-term preservation of DRM protected material is a current and important challenge. Research collect, compare, classify and evaluate implementations of digital rights tools. Report summary of the research and requirements on DRM issues, including identification of appropriate tools overview of appropriate best practices for dealing with DRM materials and its preservation Report summary of the research and requirements on DRM issues, including identification of appropriate tools overview of appropriate best practices for dealing with DRM materials and its preservation

26. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM – Approach Develop a common understanding of Review of existing standards, documents, projects and initiatives Analysis results of two DRM surveys (The Dutch DRM survey and the APARSEN DRM survey) and four concrete user scenarios Provide the consortium with a common view of the current State-of-the- Art in DRM techniques and tools (desktop research) Classification and Evaluation of DRM techniques against their impact and risk on the long-term preservation (desktop research) Digital Rights Digital Rights Management (DRM) and " Digital Rights Management (DRM) involves the description, layering, analysis, valuation, trading and monitoring of the rights over an enterprise's tangible and intangible assets. DRM covers the digital management of rights - be they rights in a physical manifestation of a work (eg a book), or be they rights in a digital manifestation of a work (eg an ebook). “ from: Iannella, R. (2002). Open Digital Rights Language (ODRL) Version 1.1. Retrieved 11 25, 2013, from W3C: http://www.w3.org/TR/odrl/

27. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: – Digital Rights Digital rights refers to the ‘rights’ associated with accessing, using, creating and publishing digital content. The rights can relate to usage permissions as well as access preferences or limitations imposed upon digital content. To preserve digital rights information a form of their digital representation is needed => Rights Expression Languages (RELs): Examples of RELs: –Open Digital Rights Language (ODRL), –METSRights, –XrML, –PREMIS from: http://www.loc.gov/standards/rights/METSRights.xsd

28. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31 – DRM: What is DRM? Control Tracking Access Use Prevention unauthorized access unintentional use legal infringements Monitoring Invoice intentional use

29. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM – Challenges Preservation of digital rights over the long-term Update digital rights information in cases of changing legislative base R ECOMMENDATIONS FOR THE PROTECTION OF DIGITAL RIGHTS DRM could be medium- or high-risky for the long-term preservation, because: DRM –restricts access (downloading, streaming) –controls use (viewing, playing, copying, dissemenation, resell) => DRM could hinder preventive and subsequent LTP measures R ECOMMENDATIONS FOR THE HANDLING OF DRM PROTECTED OBJECTS

30. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM - Achievements Jan 2014: Report on DRM preservation: contains the presented concepts and: –a classification of most common DRM variants and tools –raising awareness of the risks of DRM in the context of long-term preservation by evaluating the introduced DRM techniques –showing ways of dealing with digital rights and DRM protected material with the help of best practices and a guideline of 14 recommendations based on  desktop research,  concrete user scenarios and  two DRM surveys (one conducted within the WP)

31. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM - Implications for common vision and VCoE –the report and its catalogue of best-practices and recommendations constitutes an important contribution to the establishment of the VCoE and –leads to a common understanding of the problems and challenges with regard to DRM and long-term digital preservation of DRM-protected material

32. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP 31: DRM – Dissementation & Plans Paper for IS&T Archiving Conference 2014 APARSEN Training Programm (training pills) APARSEN Webinar in March 2014 Paper for Satellite Event on 21 st May 2014 in Vienna Paper for LIBER conference in Riga in July 2014

33. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance

34. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance Duration: March 2013 (M27) - February 2014 (M38) Objective –Devise a methodology for implementing governance structures and data policies by surveying current best practices on governance and data policies in a few selected countries in Europe Links to other activities in APARSEN –WP11 (Common vision) –WP25 (Interoperability) –WP31 (Digital rights)

35. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance The approach of the WP –Draw up a web-based questionnaire on governance models and data policies –Conduct desktop research on selected data policies available on the Internet –Based on the above, make guidelines on governance and data policy management mechanisms to enhance interoperability

36. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance Main achievements/findings in the period –Deliverable D35.1 (Exemplar good governance structures and data policies) –Gives 13 recommendations for drafting/updating data policies, including  Reason and the target group  Encourage open access to data  Specification of standards and interoperability  Roles and responsibilities in data management, governance structures  The license systems  The type of data addressed  The cooperation with similar organizations  Sustainability of funding for digital preservation and access

37. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance Implications for common vision and VCoE –Gives insights what should be taken into account when drafting/revising a data policy –Strengthens the interoperability with regard to data policies and governance

38. Stream 3: Non-technical research Sabine Schrimpf, Deutsche Nationalbibliothek APARSEN review, Frankfurt, 13 February 2014 Co-funded by the European Union under FP7-ICT-2009-6 aparsen.eu #APARSEN WP35: Data Policies and Governance Future plans –A paper entitled “Recommendations for Preservation Data Policies” submitted to Open Repositories 2014 conference –APARSEN webinar on data policies planned for spring 2014 –WP35 results will be presented in the APARSEN workshop at the 43 rd Annual LIBER conference in Riga in July 2014

39. aparsen.eu #APARSEN Network of Excellence