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It’s	
  a	
  Real	
  World:	
  	
  
Developing	
  Preserva6on	
  Policy	
  for	
  Dryad	
  
Ayoung	
  Yoon	
  (Dryad	
  preserva2on	
  working	
  group,	
  Doctoral	
  Candidate	
  at	
  UNC-­‐CH)	
  
Sara	
  Mannheimer	
  (Former	
  Dryad	
  curator,	
  Data	
  management	
  librarian	
  at	
  Uof	
  Montada)	
  
Elena	
  Feinstein,	
  Jane	
  Greenberg,	
  Ryan	
  Scherle,	
  Dryad	
  Digital	
  Repository	
  
March	
  26,	
  2014	
  
Research	
  Data	
  Access	
  &	
  Preserva6on	
  Submit	
  (RDAP)	
  2014	
  
Outline	

•  Introduc2on	
  	
  
•  What	
  is	
  Dryad	
  Digital	
  Repository?	
  	
  
•  Preserva2on	
  policy	
  development	
  process	
  	
  
•  Dryad	
  preserva2on	
  policy	
  
•  Lesson	
  learned	
  and	
  open	
  ques2ons	
  	
  
•  Conclusion	
  
•  Acknowledgement	
  	
  	
  
Introduction 	

•  “Data	
  deluge”	
  
•  Journals	
  and	
  funding	
  agency	
  mandates	
  
•  Benefits	
  to	
  archiving	
  and	
  preserving	
  research	
  data:	
  
–  Facilitates:	
  
•  Verifica2on	
  of	
  research	
  
•  accessibility	
  and	
  discoverability	
  
•  opportuni2es	
  for	
  data	
  reuse	
  
•  increased	
  cita2ons	
  
•  research	
  visibility	
  
–  Prevents:	
  	
  
•  redundant	
  data	
  collec2on	
  
•  inefficient	
  legacy	
  data	
  cura2on	
  
•  burden	
  of	
  sharing-­‐on-­‐request	
  
•  Challenges	
  of	
  data	
  archiving:	
  
–  Wider	
  variety	
  of	
  file	
  formats	
  than	
  most	
  digital	
  archival	
  materials.	
  	
  
–  New	
  versions	
  as	
  data	
  sets	
  are	
  added	
  to	
  and	
  updated	
  
–  Security	
  considera2ons	
  
–  Large	
  amounts	
  of	
  data	
  
	
   Benefits	
  adapted	
  from	
  Beagrie	
  N,	
  Lavoie	
  BF,	
  Woollard	
  M	
  (2010)	
  
Keeping	
  research	
  data	
  safe	
  2.	
  HEFCE	
  
Why preservation policy?	

•  Preserva2on	
  policy	
  supports	
  strategic	
  planning	
  for	
  
implementa2on	
  
•  Communicates	
  to	
  stakeholders	
  
–  trustworthiness	
  and	
  commitment	
  to	
  preserva2on	
  	
  
•  Not	
  many	
  data	
  preserva2on	
  policies.	
  Some	
  examples:	
  
–  CERN:	
  CMS	
  data	
  
–  Archaeology	
  Data	
  Service	
  
–  NSIDC	
  Data	
  Management	
  Policies	
  
–  Odum	
  Ins2tute	
  Preserva2on	
  Policy	
  
–  ISPSR	
  
–  DataONE	
  
Dryad Digital Repository	

•  A	
  curated,	
  general-­‐purpose	
  repository	
  that	
  makes	
  the	
  
data	
  underlying	
  scien2fic	
  and	
  medical	
  publica2ons	
  
discoverable,	
  freely	
  reusable,	
  and	
  citable	
  	
  
(hap://datadryad.org/).	
  
•  Facilitates	
  data	
  availability,	
  data	
  sharing,	
  and	
  scholarly	
  
communica2on.	
  
•  Originally	
  partnered	
  with	
  leading	
  journals	
  and	
  scien2fic	
  
socie2es	
  in	
  evolu2onary	
  biology	
  and	
  ecology.	
  
•  Broad	
  collec2ng	
  policy	
  –	
  almost	
  any	
  data	
  is	
  accepted,	
  	
  	
  
as	
  long	
  as	
  it	
  is	
  associated	
  with	
  a	
  publica2on.	
  	
  
	
  
Common filetypes in Dryad	

0	
   200	
   400	
   600	
   800	
   1000	
  
WAV	
  
HTML	
  
Phylip	
  
R	
  script	
  
JPEG	
  Image	
  
Newick	
  tree	
  file	
  
RTF	
  
XML	
  
GZip	
  archive	
  
MS	
  Word	
  OpenXML	
  
MS	
  Word	
  97-­‐2007	
  
Nexus	
  
PDF	
  
FASTA	
  
MS	
  Excel	
  OpenXML	
  
Zip	
  archive	
  
CSV	
  
MS	
  Excel	
  97-­‐2007	
  
Dryad and Preservation Needs	

•  Preserva2on	
  is	
  a	
  major	
  part	
  of	
  Dryad’s	
  mission.	
  
•  Current	
  preserva2on	
  ac2ons:	
  
–  MD5	
  Checksums	
  
–  provenance	
  metadata	
  
–  informal	
  encouragement	
  of	
  preferred	
  formats	
  
•  Developing	
  and	
  implemen2ng	
  a	
  formal	
  preserva2on	
  
policy	
  will:	
  
–  guide	
  current	
  and	
  future	
  preserva2on	
  prac2ce	
  
–  Facilitate	
  the	
  long-­‐term	
  preserva2on	
  of	
  the	
  repository’s	
  digital	
  
assets	
  
Policy Development Process	

	
  	
  	
  2012 	
   	
  Feb	
  2013	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  May	
  2013	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  July	
  2013	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  Nov	
  2013	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  
An	
  ini2al	
  
preserva2on	
  plan	
  
(version	
  1.0.)	
  
Preserva2on	
  Working	
  
Group	
  in	
  Feb	
  2013	
  
Version	
  2.0.	
  presented	
  
to	
  the	
  Dryad	
  Board	
  of	
  
Directors	
  
Version	
  2.0.	
  revised	
  in	
  
coopera2on	
  with	
  Dryad	
  
staff	
  
•  Version	
  2.4.	
  Approved	
  by	
  Dryad	
  
Board	
  of	
  Directors	
  
•  Preserva2on	
  Working	
  Group	
  
dissolved.	
  
Preserva2on	
  Task	
  
Force	
  formed	
  	
  
Preservation Policy	

•  Purpose	
  	
  
•  Scope	
  and	
  content	
  coverage	
  	
  
•  Overview	
  of	
  preserva2on	
  strategies	
  	
  
•  Format	
  support	
  and	
  levels	
  of	
  preserva2on	
  
–  e.g.	
  Preferred	
  formats	
  and	
  format	
  support	
  levels	
  
•  Implemen2ng	
  the	
  strategy	
  
–  e.g.	
  integra2ons	
  of	
  OAIS	
  func2onal	
  ac2vi2es,	
  pre-­‐ingest	
  &	
  
ingest,	
  and	
  archival	
  storage,	
  authen2city	
  and	
  integrity,	
  
security,	
  versioning,	
  and	
  withdrawal	
  of	
  collec2ons	
  
•  Sustainability	
  plans	
  
–  e.g.	
  technical	
  sustainability,	
  ins2tu2onal	
  and	
  financial	
  
sustainability	
  
Lesson Learned and Open Questions	

•  A	
  nego2a2on	
  between	
  what	
  is	
  ideal	
  and	
  what	
  is	
  
realis2c	
  
–  Adop2ng	
  Interna2onal	
  standards,	
  models,	
  and	
  best	
  
prac2ces	
  exist	
  for	
  long-­‐term	
  preserva2on	
  	
  
•  Open	
  Archival	
  Informa2on	
  System	
  (OAIS)	
  
reference	
  model	
  (ISO	
  14721:2003)	
  
•  PREMIS	
  (PREserva2on	
  Metadata:	
  Implementa2on	
  
Strategies)	
  
–  Other	
  standards	
  and	
  guidelines	
  about	
  audit	
  and	
  
cer2fica2on	
  for	
  building	
  a	
  trusted	
  digital	
  repository	
  
•  Trustworthy	
  Repositories	
  Audit	
  &	
  Cer4fica4on:	
  
Criteria	
  and	
  Checklist	
  (TRAC)	
  and	
  Data	
  Seal	
  of	
  
Approval	
  (DSA)	
  
Lesson Learned and Open Questions	

•  Aligning	
  with	
  other	
  internal	
  and	
  ins2tu2onal	
  policies	
  
–  Follow	
  Dryad’s	
  internal	
  policies,	
  we	
  looked	
  primarily	
  
to	
  Dryad’s	
  Terms	
  of	
  Service	
  document	
  (
haps://datadryad.org/pages/policies),	
  which	
  includes	
  
policies	
  on	
  submission,	
  content,	
  payment,	
  usage,	
  and	
  
privacy	
  	
  
–  Comply	
  with	
  Dryad’s	
  unofficial	
  policies,	
  which	
  have	
  
yet	
  to	
  be	
  finalized	
  
•  A	
  policy-­‐in-­‐progress:	
  Dryad’s	
  policy	
  on	
  versioning	
  
–  Comply	
  with	
  policy	
  from	
  partner	
  ins2tu2ons	
  
•  Dryad	
  func2ons	
  as	
  a	
  partnership	
  between	
  the	
  
University	
  of	
  North	
  Carolina	
  at	
  Chapel	
  Hill	
  (UNC),	
  Duke	
  
University	
  (Duke),	
  and	
  North	
  Carolina	
  State	
  University	
  
(NC	
  State)	
  	
  
Lesson Learned and Open Questions	

•  Structuring	
  the	
  policy	
  according	
  to	
  Dryad’s	
  specific	
  
needs	
  
–  Mee2ng	
  specific	
  organiza2onal	
  needs	
  is	
  fundamentally	
  
important	
  and	
  should	
  be	
  the	
  first	
  considera2on	
  in	
  all	
  
work,	
  as	
  each	
  organiza2on	
  has	
  different	
  goals,	
  
priori2es,	
  and	
  capabili2es.	
  	
  
–  Data	
  depositors’	
  requirements:	
  minimum	
  
requirements	
  
•  balance	
  “minimum	
  efforts”	
  and	
  having	
  “enough”	
  
representa2on	
  informa2on	
  
•  compensated	
  by	
  other	
  factors	
  	
  
Conclusion 	

•  Policy-­‐crea2on	
  and	
  planning	
  are	
  just	
  first	
  steps	
  -­‐-­‐	
  
implementa2on	
  will	
  require	
  further	
  considera2ons	
  
•  Future	
  plan	
  
–  Poten2als	
  for	
  implemen2ng	
  TRAC	
  /	
  DSA	
  in	
  the	
  future	
  
–  Divide	
  policy	
  and	
  implementa2on	
  into	
  separate	
  
documents	
  
–  New	
  Task	
  Force	
  
Acknowledgement	

•  The	
  works	
  was	
  supported	
  in	
  part	
  from	
  Na2onal	
  
Science	
  Founda2on	
  (NSF),	
  Award	
  number:	
  1147166/
ABI	
  Development:	
  Dryad:	
  scalable	
  and	
  sustainable	
  
infrastructure	
  for	
  the	
  publica2on	
  of	
  data.	
  	
  
Thank you!	

Ayoung	
  Yoon	
  
	
  Doctoral	
  candidate	
  	
  
	
  University	
  of	
  North	
  Carolina	
  at	
  Chapel	
  Hill	
  
	
  ayyoon@email.unc.edu	
  
Sara	
  Mannheimer	
  
	
  Data	
  management	
  librarian	
  	
  
	
  Montana	
  State	
  University	
  
	
  sara.mannheimer@montana.edu	
  

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RDAP14: It’s a Real World: Developing Preservation Policy for Dryad

  • 1. It’s  a  Real  World:     Developing  Preserva6on  Policy  for  Dryad   Ayoung  Yoon  (Dryad  preserva2on  working  group,  Doctoral  Candidate  at  UNC-­‐CH)   Sara  Mannheimer  (Former  Dryad  curator,  Data  management  librarian  at  Uof  Montada)   Elena  Feinstein,  Jane  Greenberg,  Ryan  Scherle,  Dryad  Digital  Repository   March  26,  2014   Research  Data  Access  &  Preserva6on  Submit  (RDAP)  2014  
  • 2. Outline •  Introduc2on     •  What  is  Dryad  Digital  Repository?     •  Preserva2on  policy  development  process     •  Dryad  preserva2on  policy   •  Lesson  learned  and  open  ques2ons     •  Conclusion   •  Acknowledgement      
  • 3. Introduction •  “Data  deluge”   •  Journals  and  funding  agency  mandates   •  Benefits  to  archiving  and  preserving  research  data:   –  Facilitates:   •  Verifica2on  of  research   •  accessibility  and  discoverability   •  opportuni2es  for  data  reuse   •  increased  cita2ons   •  research  visibility   –  Prevents:     •  redundant  data  collec2on   •  inefficient  legacy  data  cura2on   •  burden  of  sharing-­‐on-­‐request   •  Challenges  of  data  archiving:   –  Wider  variety  of  file  formats  than  most  digital  archival  materials.     –  New  versions  as  data  sets  are  added  to  and  updated   –  Security  considera2ons   –  Large  amounts  of  data     Benefits  adapted  from  Beagrie  N,  Lavoie  BF,  Woollard  M  (2010)   Keeping  research  data  safe  2.  HEFCE  
  • 4. Why preservation policy? •  Preserva2on  policy  supports  strategic  planning  for   implementa2on   •  Communicates  to  stakeholders   –  trustworthiness  and  commitment  to  preserva2on     •  Not  many  data  preserva2on  policies.  Some  examples:   –  CERN:  CMS  data   –  Archaeology  Data  Service   –  NSIDC  Data  Management  Policies   –  Odum  Ins2tute  Preserva2on  Policy   –  ISPSR   –  DataONE  
  • 5. Dryad Digital Repository •  A  curated,  general-­‐purpose  repository  that  makes  the   data  underlying  scien2fic  and  medical  publica2ons   discoverable,  freely  reusable,  and  citable     (hap://datadryad.org/).   •  Facilitates  data  availability,  data  sharing,  and  scholarly   communica2on.   •  Originally  partnered  with  leading  journals  and  scien2fic   socie2es  in  evolu2onary  biology  and  ecology.   •  Broad  collec2ng  policy  –  almost  any  data  is  accepted,       as  long  as  it  is  associated  with  a  publica2on.      
  • 6. Common filetypes in Dryad 0   200   400   600   800   1000   WAV   HTML   Phylip   R  script   JPEG  Image   Newick  tree  file   RTF   XML   GZip  archive   MS  Word  OpenXML   MS  Word  97-­‐2007   Nexus   PDF   FASTA   MS  Excel  OpenXML   Zip  archive   CSV   MS  Excel  97-­‐2007  
  • 7. Dryad and Preservation Needs •  Preserva2on  is  a  major  part  of  Dryad’s  mission.   •  Current  preserva2on  ac2ons:   –  MD5  Checksums   –  provenance  metadata   –  informal  encouragement  of  preferred  formats   •  Developing  and  implemen2ng  a  formal  preserva2on   policy  will:   –  guide  current  and  future  preserva2on  prac2ce   –  Facilitate  the  long-­‐term  preserva2on  of  the  repository’s  digital   assets  
  • 8. Policy Development Process      2012    Feb  2013                                      May  2013                                      July  2013                                  Nov  2013                                           An  ini2al   preserva2on  plan   (version  1.0.)   Preserva2on  Working   Group  in  Feb  2013   Version  2.0.  presented   to  the  Dryad  Board  of   Directors   Version  2.0.  revised  in   coopera2on  with  Dryad   staff   •  Version  2.4.  Approved  by  Dryad   Board  of  Directors   •  Preserva2on  Working  Group   dissolved.   Preserva2on  Task   Force  formed    
  • 9. Preservation Policy •  Purpose     •  Scope  and  content  coverage     •  Overview  of  preserva2on  strategies     •  Format  support  and  levels  of  preserva2on   –  e.g.  Preferred  formats  and  format  support  levels   •  Implemen2ng  the  strategy   –  e.g.  integra2ons  of  OAIS  func2onal  ac2vi2es,  pre-­‐ingest  &   ingest,  and  archival  storage,  authen2city  and  integrity,   security,  versioning,  and  withdrawal  of  collec2ons   •  Sustainability  plans   –  e.g.  technical  sustainability,  ins2tu2onal  and  financial   sustainability  
  • 10. Lesson Learned and Open Questions •  A  nego2a2on  between  what  is  ideal  and  what  is   realis2c   –  Adop2ng  Interna2onal  standards,  models,  and  best   prac2ces  exist  for  long-­‐term  preserva2on     •  Open  Archival  Informa2on  System  (OAIS)   reference  model  (ISO  14721:2003)   •  PREMIS  (PREserva2on  Metadata:  Implementa2on   Strategies)   –  Other  standards  and  guidelines  about  audit  and   cer2fica2on  for  building  a  trusted  digital  repository   •  Trustworthy  Repositories  Audit  &  Cer4fica4on:   Criteria  and  Checklist  (TRAC)  and  Data  Seal  of   Approval  (DSA)  
  • 11. Lesson Learned and Open Questions •  Aligning  with  other  internal  and  ins2tu2onal  policies   –  Follow  Dryad’s  internal  policies,  we  looked  primarily   to  Dryad’s  Terms  of  Service  document  ( haps://datadryad.org/pages/policies),  which  includes   policies  on  submission,  content,  payment,  usage,  and   privacy     –  Comply  with  Dryad’s  unofficial  policies,  which  have   yet  to  be  finalized   •  A  policy-­‐in-­‐progress:  Dryad’s  policy  on  versioning   –  Comply  with  policy  from  partner  ins2tu2ons   •  Dryad  func2ons  as  a  partnership  between  the   University  of  North  Carolina  at  Chapel  Hill  (UNC),  Duke   University  (Duke),  and  North  Carolina  State  University   (NC  State)    
  • 12. Lesson Learned and Open Questions •  Structuring  the  policy  according  to  Dryad’s  specific   needs   –  Mee2ng  specific  organiza2onal  needs  is  fundamentally   important  and  should  be  the  first  considera2on  in  all   work,  as  each  organiza2on  has  different  goals,   priori2es,  and  capabili2es.     –  Data  depositors’  requirements:  minimum   requirements   •  balance  “minimum  efforts”  and  having  “enough”   representa2on  informa2on   •  compensated  by  other  factors    
  • 13. Conclusion •  Policy-­‐crea2on  and  planning  are  just  first  steps  -­‐-­‐   implementa2on  will  require  further  considera2ons   •  Future  plan   –  Poten2als  for  implemen2ng  TRAC  /  DSA  in  the  future   –  Divide  policy  and  implementa2on  into  separate   documents   –  New  Task  Force  
  • 14. Acknowledgement •  The  works  was  supported  in  part  from  Na2onal   Science  Founda2on  (NSF),  Award  number:  1147166/ ABI  Development:  Dryad:  scalable  and  sustainable   infrastructure  for  the  publica2on  of  data.    
  • 15. Thank you! Ayoung  Yoon    Doctoral  candidate      University  of  North  Carolina  at  Chapel  Hill    ayyoon@email.unc.edu   Sara  Mannheimer    Data  management  librarian      Montana  State  University    sara.mannheimer@montana.edu