Project Information. None Preservation Tools (15/10)

Transcription

1 EPIC Project Document Cover Sheet Project Acronym Project Title EPIC Project Information Evaluating Plato in Cambridge Start Date 1 February 2011 End Date 31 July 2011 Lead Institution Project Director Project Manager & contact details University of Cambridge Elin Stangeland Name: David Piper dp422 at cam.ac.uk Tel: Fax: Address: Cambridge University Library, West Road, Cambridge CB3 9DR Partner Institutions Project Web URL Programme Name (and number) Programme Manager None Preservation Tools (15/10) Neil Grindley Document Name Document Title Project Plan Reporting Period Author(s) & project role Date Filename URL Access Project and JISC internal General Document History Version Date Comments 0.1 February 2011 Draft Page 1 of 11

2 JISC Project Document EPIC - Evaluating Plato in Cambridge Overview of Project 1. Background In common with many research-intensive universities, the appropriate curation and preservation of digital content especially research outputs and associated data is high on the agenda of the University of Cambridge and its Library. This is underlined by the Library s full membership of the Digital Preservation Coalition (DPC) 1, the appointment of a Digitisation and Digital Preservation Specialist in 2008, and previous involvement in projects such as KRDS 2. Cambridge s digital preservation activities are focused on the DSpace@Cambridge institutional repository 3, which is jointly managed by the Library and the University Computing Service (UCS). Digital preservation is identified as a key activity for the repository by the University s Information Strategy and Services Syndicate (ISSS) and within public documents such as the Library s recently published strategic plan (Working Together: a strategic framework ). Cambridge University Library has ongoing work to develop and implement a digital preservation strategy for the Library and its repository through the CUPID programme (Cambridge University Preservation Development). CUPID has been concentrating on identifying local needs and emerging international best practices, evaluating our current provision (chiefly based on the TRAC checklist), and recommending improvements to DSpace@Cambridge services and infrastructure. The curation and preservation of research data emerged as an important theme within CUPID. Cambridge University Library has begun to address this through the JISC-funded Incremental project ( ) 5. Incremental is a collaboration with the University of Glasgow and is supported by both the DPC and Digital Curation Centre 6. It takes a lifecycle approach to data management, with a focus on how the researcher manages his or her data. Our goal is to ensure that researchers think carefully about the long-term potential of their data and undertake actions to support this (e.g. choice of format, appropriate back-up, sufficient documentation). An important aspect of the Incremental project has been its engagement with researchers the project undertook in-depth interviews with nearly fifty researchers from six very different departments at Cambridge (and a similar number at Glasgow). This provided valuable and often surprising information about researcher practices and attitudes. It underlined for us the need, when considering any digital curation or preservation action, of understanding the intentions and requirements of its creators and users (i.e. the designated community and what they regard as significant properties). It also highlighted the importance of minimising 1 See 2 See 3 See 4 See page 7 5 See 6 See Page 2 of 11

3 jargon and using plain language and real examples when talking with researchers about ensuring long-term access to data (i.e. digital preservation). Other things to emerge from our CUPID work - particularly from our work with TRAC - were the need to do more work in identifying collections at risk and establishing procedures for planning and executing actions to address or minimise these risks. Some tests have been conducted using JHOVE and we are awaiting the outcome of the JHOVE2 project. In the interim, we will look at tools such as the UNIX file program to improve the ability of the DSpace repository to identify formats during ingest. This work will also produce a patch for the DSpace software itself, available for the DSpace community to integrate within the DSpace source code. We have already used this UNIX file program to undertake a preliminary audit of deposited formats in the repository. The audit suggested that we should do some further work to investigate and develop preservation plans for our textual content, which includes a wide variety of word processor and pdf formats. 2. Aims and Objectives EPIC will investigate ways of improving the digital preservation services currently provided with DSpace@Cambridge. We will focus on preservation planning, which was highlighted by a recent TRAC audit 7 as an area that needs attention. A key activity of the project will be to explore the feasibility of using Plato and associated Planets Suite 8 or other related tools for preservation planning and appropriate preservation activities. It will identify a small number of deposited collections that are at risk and use Plato to investigate preservation options and develop plans for them. We expect to undertake some preservation actions (e.g. format migrations) but in other cases experiments will be conducted to identify future actions. In order to inform our preservation planning activity and evaluate the results of the planning process the project will seek to work closely with collection originators (where available) or with likely users of these collections. It will try to understand the properties or characteristics that these designated communities regard as significant, so that these are fully articulated and tested within Plato. In addition to informing and evaluating our preservation planning exercise, we hope that this user consultation will contribute to the debate around significant properties/characteristics 9 and in particular look at how these might be captured from users who are unfamiliar with and uninterested in the formal discourse of the digital preservation community. Our intention is to look critically at the practical application of Plato and the Planets tools within our mature repository environment, providing recommendations for the continued development of the DSpace@Cambridge service and for wider communities (e.g. JISC community, repository community, Planets Foundation and users). We expect that both our critical evaluation of Plato and our work to engage with the designated community will be of interest to the wider community and will work closely with JISC in disseminating our findings. 7 See 8 See and 9 See, for example, the JISC s significant properties projects and the work of Dappert and Farqhuar for Planets: Page 3 of 11

4 3. Overall Approach 3.1. Strategy / Methodology We have identified Plato and other Planets tools as potentially useful and will evaluate these with selected text-based collections and we will document the workflows and procedures involved. We will make use of the Planets tools to evaluate preservation actions and will use external user groups to inform this process. We will consider how well the toolset and actions meet the business requirements of the DSpace@Cambridge repository We will provide recommendations on whether/how the relevant toolset might be incorporated into the DSpace@Cambridge service and comment on its wider value and applicability. We will participate actively with other projects and seek to effectively share and disseminate what we learn Further details are given in Appendix B (workpackages) 3.2. Important issues to be addressed There are several important issues being addressed within the project, including: the concerns of the subject communities; differences between disciplines and formats; the appropriateness of Plato as a planning tool, the development of effective workflow and processes and the cost/benefit of such provision Scope and boundaries EPIC will focus on preservation planning by evaluating Plato and associated tools both technically and with input from relevant subject communities in the determination of significant characteristics or properties. Focus will be given to the development of processes that will build on existing resources, can be sustained beyond the project, and will result in outputs that are capable of being used and adapted by other institutions Critical success factors We expect the following factors to be critical to the success of this project: Retention of project staff Cooperation from relevant subject communities Timely and high-quality outputs from each workpackage Some of these factors are dealt with further in the Risk Analysis (section 7). 4. Project Outputs EPIC will produce the following outputs: A description of workflows, procedures and objectives in implementing a preservation planning tool A measurement of the effectiveness of the tool using technical objective measures and the more subjective observations of our user reference group An account of how effectively the tool meets the business objectives of the DSpace@Cambridge repository A record of likely impact/value to the University of Cambridge and other potential users Active participation/sharing with the curation community through the programme and other relevant fora (e.g. DPC, repository groups) Page 4 of 11

5 5. Project Outcomes Although this is a short project, we expect it to produce some positive outcomes for the institution and the wider community: We will have undertaken some preservation planning for collections that are at risk We will have evaluated how Plato might fit within a busy repository environment, considering it from both workflow and technical perspectives, and providing recommendations for its implementation, use and further development We will provide a further critique by drawing on groups of contributors and users, looking at how their intentions and requirements might be efficiently captured and in particular how a discussion of significant properties/characteristics might be conducted with minimal technical language. 6. Stakeholder Analysis Stakeholder Interest/Stake Importance Means of engagement University of Cambridge Designated Communities Cambridge University Library (CUL) Cambridge University Computing Service (CS) Planets developers and users JISC Repositories Community Preservation community (DPC, DCC, Data Centres) Preservation is of growing concern as research activity and dissemination increasingly take a digital form. CUL regards DSpace@Cambridge as a strategic service in curating research outputs on behalf of the University of Cambridge CS hosts the technical environment for DSpace@Cambridge and leads its technological development. The project will review tools developed by the Planets projects JISC seeks to meet the objectives of its programme and achieve good value from its investment. Repository managers are aware of preservation needs, but have limited resources and few strong models. Preservation requirements are well understood, but practical implementations within UK HE are few. High High High Medium / High Medium Medium Medium Original depositors and potential users of identified collections will be consulted to clarify user community expectations and requirements. Library management and staff will be actively involved in the project. Computing Service staff will be actively involved in the project. The project will feed back findings to the Open Planets Foundation The project will provide formal and informal progress reports and seek active engagement within the Programme. The project will utilise well established networks such as the DSpace community and RSP 10 to exchange information. The project will utilise existing networks (e.g. DPC and DCC) to exchange information. It will work with 10 See Page 5 of 11

6 the Information Environment Programme to ensure effective engagement and dissemination. 7. Risk Analysis Risk Probability (1-5) Severity (1-5) Score (P x S) Actions to Prevent/Manage Risk Staffing The project will use existing, experienced staff. Two are nearing the end of their contracts and will work closely together to manage any early departures. Designated community engagement The project aims to involve groups from across the University who are known to us either from Incremental or DSpace@Cambridge work. Organisational The project builds on existing organisational structures and relationships. There is a strong institutional commitment to this project. Financial Staff have experience with managing budgets for similar projects. Appropriate financial controls are in place. Technical Plato is a standalone open source product requiring little technical work. Changes or additions to the technical infrastructure this will be added to DSpace@Cambridge s development plan Legal Project outputs will be licensed to HEFCE and made available to the community. Researcher contributions will be shared with permission or suitably anonymised 8. Standards The project team is committed to using appropriate standards. Attention will be given to developing resources that are accessible. Where there is any uncertainty around standards, we will consult relevant JISC advisory services (e.g. JISC Digital Media, TechDIS, OSSWatch) or resources (e.g. the JISC Standards Catalogue11). Name of standard or specification Trustworthy repositories audit and certification (TRAC) criteria and checklist Reference Model for an Open Archival Information System (OAIS) Version Notes 2007 EPIC will be based on TRAC criteria 2003 Used to structure project approach and terminology Page 6 of 11

7 (ISO 14721:2003) 9. Technical Development We do not currently plan to undertake any technical development beyond the small DSpace patch in Work Package 3 but if any is specified during the course of this project, preference will be given to employing open standards and technologies. 10. Intellectual Property Rights Any resources produced directly by the project will be licensed to HEFCE and made available to the community under an appropriate Creative Commons license as recommended by JISC. Computer code created within the project for the DSpace software will be released under the BSD license as recommended by the DSpace community 11. If we decide to make use of any third-party materials (beyond the Planets tools) we will give preference to open content and technologies. In all cases we will respect the IPR of others and will clearly identify the IPR status of all deliverables. Project Resources 11. Project Partners None 12. Project Management The Project Director, Project Advisor and the repository s Systems Manager and Developer will be members of the EPIC Advisory Group and will provide overall direction and support for the project. EPIC will make use of existing staff no additional recruitment is required. The Repository Manager and Preservation Specialist will oversee the project and it will be managed by David Piper, one of the DSpace@Cambridge Liaison Officers with considerable management and technical experience. Catharine Ward from the Incremental Project will support our engagement with researchers. Incremental is due to finish in March and we propose to extend her contract through to the end of July on a 1.0 FTE basis on the EPIC project. Technical work will be undertaken by David Piper and the repository s Systems Manager and Developer. These last two staff are on long-term contracts and have considerable experience of working with the repository and other software. Key team members Elin Stangeland Project Director and 0.1 FTE (2 days per month) DSpace@Cambridge Repository Manager Grant Young Project Advisor and Digitisation and 0.05 FTE (1 day per month) Digital Preservation Specialist David Piper Project Manager and 0.4 FTE. 11 See Page 7 of 11

8 Support & Liaison Officer. Catharine Ward Project Officer 1.0 FTE for 4 months Tom De Mulder DSpace@Cambridge Systems Manager 1 week Simon Brown, DSpace@Cambridge Systems Developer 2 week 13. Programme Support We do not currently anticipate the need for special support, but will keep the programme manager well briefed on progress and any issues that arise. We expect to work closely with the Open Planets Foundation. As part of this commitment the Cambridge University Library will be joining the OPF as an associate member. 14. Budget See attached budget template. Detailed Project Planning 15. Workpackages See attached workpackages template 16. Evaluation Plan We will seek to document the project as fully as we can so that others have sufficient information with which to evaluate our activities and findings. Through releases on the project blog, we will enable and invite such peer review when the project is in progress. We will also seek to work closely with the JISC to ensure that we are providing information to support its own evaluation of the project and the wider programme. Timing Jun 11 Jul 11 Ongoing Factor to Evaluate Quality of pilot implementation of preservation planning Quality of disseminated outputs Wider impact on preservation planning for HEIs Questions to Address Does the implementation fulfil TRAC requirements? Are outputs of high quality and useful? Have the outputs had a wider positive impact? Method(s) TRAC review by Advisory Group and peers. Review by peers and programme manager For Programme Manager and digital preservation community to assess Measure of Success Positive feedback from reviewers Positive feedback from reviewers Feedback, citation, further development. 17. Quality Plan Output Timing Quality QA Evidence Quality Quality Page 8 of 11

9 Project plan Mar 11 Clear presentation and relevant content Significant properties for the selected collections Preservation plans Preservation activities and workflow description Final and completion reports criteria method(s) of compliance Review by team, advisory group and programme manager Positive feedback responsibilities Project Director Jul 11 As above As above As above Project Officer N/A Jun 11 As above As above As above Project Manager Jun 11 As above As above As above Project Manager Jul 11 As above As above As above Project Manager In addition it is hoped that feedback can be gathered from the DPC and the Open Planets Foundation. Also it is intended that EPIC will feed in the development of the CUL Digital Preservation Strategy and outputs will be critiqued by key stakeholders outside the scope of this project. tools (if applicable) N/A 18. Dissemination Plan Throughout the project period the project members will keep interested parties informed by blogging about progress, and by publishing relevant reports and outputs on the project web site. Findings from the tool review processes and community engagement activities will be of interest to the preservation community, and we will seek to present these at programme events, relevant conferences or workshops, or publish in appropriate journals such as IJDC 12. Timing Dissemination Audience Purpose Key Message Feb 11 Mar 11 to Jul 11 Activity Project webpage and blog Posting to relevant lists All interested parties All interested parties Raise awareness and disseminate progress and outputs Raise awareness and disseminate progress and outputs N/A N/A N/A Project outline and progress Mar 11 to Engagement with the Digital curation Raise Project Project outline, progress and lessons 12 See Page 9 of 11

10 Jul 11 Jun 11 DPC and the Open Planets Foundation Implementation/ engagement with subject communities community Key stakeholders awareness and share lessens learnt Inform and engage participants Jul 11 Final report JISC community Share methodology and lessons learned methodology and outputs Project methodology Project outline, methodology, outputs, and lessons 19. Exit and Sustainability Plans <Explain what will happen to project outputs at the end of the project (including knowledge and learning). Focus on the work needed to ensure they are taken up by the community and any work needed for project closedown, e.g. preservation, maintenance, documentation.> EPIC takes place within the context of existing work at Cambridge. Implementation work will build on existing infrastructure and services at the university, so activities are embedded and naturally more sustainable. From the TRAC audit mentioned above we identified a need to improve the preservation provision of DSpace@Cambridge and in particular a need to undertake more work on preservation planning. Initial investigations indicated that Plato may be a good tool for this purpose, but might require significant investments of time for repository staff and for depositors/users (to identify significant properties/characteristics). The EPIC project will allow us to evaluate the sustainability of using Plato and related Planets tools by testing their appropriateness and scalability within in a Cambridge repository context and determining what level of engagement with users is required. The results of this effort will inform our decision on whether/how to embed these tools within our workflow and infrastructure. Project Outputs Implementation outputs Dissemination outputs Final and other reports Action for Take-up & Embedding Embed within DSpace@Cambridge On project website and copies with JISC Ensure key lessons are recorded in project documentation and publications Action for Exit Ensure appropriate documentation and handover Ensure appropriate documentation Ensure appropriate documentation The Project Manager and Project Director are members of the DSpace@Cambridge team and will provide log term continuity. Project Outputs Why Sustainable Scenarios for Taking Forward Issues to Address Page 10 of 11

11 Appendixes Appendix A. Project Budget Appendix B. Workpackages Page 11 of 11