Further resources

A list of additional guidance materials relating to preservation policies. Use this as a reference point for further reading on the subject. The DPC Digital Preservation Policy Toolkit builds on some of the resources listed below but does not attempt to replace them.

 

General guidance on preservation policy writing

  • Practical Digital Preservation: A how-to guide for organizations of any size by Adrian Brown, (2013), pp. 24–36, Facet Publishing - This book includes a helpful section on developing a policy.

  • Presentation by Kirsty Lee University of Edinburgh (2014): - This presentation includes a table showing the different policy elements included in Adrian Brown’s Practical Digital Preservation, the Library of Congress work and JISC report from 2008.

  • Blog post from Somaya Langley ‘Cambridge University Libraries inaugural Digital Preservation Policy’ (2018) - This blog post gives a helpful insight into the policy development process.

  • Blog post from Edith HalverssonPolicy Ramblings’ (2017) - This blog post highlights work to analyze preservation policies (or strategies) from 60 institutions, using the 19 headings from the Library of Congress study. There are some interesting findings – for example, the policies that covered all headings are not necessarily more effective than those that cover fewer.

  • Event page for Devising Your Digital Preservation Policy: Learnings from the Digital Preservation at Oxford and Cambridge (DPOC) project (2018) - Slides from the day are available and are a useful reference.

  • APARSEN D35.1 Exemplar good governance structures and data policies (2013) - This report is aimed specifically at science data but does include some useful general recommendations which are easy to pick out from the 'Recommendations and conclusions' section of the report.

  • Digital preservation policies: Guidance for archives, The National Archives UK (2011) - Though quite old, this guide still contains useful advice in an easy to read format.

 

Other preservation policy templates

  • Archives West Midlands Digital Preservation Policy template (2018) - A recent example of a preservation policy that has been created for members of Archives West Midlands. The text is written in full, and there are areas where members are encouraged to insert their own organization name or mission statement, or add other specifics unique to them. One of the aims of this policy is to move all members to level 1 of the NDSA Levels of Preservation.

  • DCC template preservation policy (2010) - This template is focused on ‘data’ and suggests quite a high level of detail on some policy elements, such as whether new versions of data can be submitted and how this will be handled.

  • NEDCC Digital Preservation Policy Template (2008) - Developed for a 2-day workshop, this example includes headings and suggests questions to answer under each section. It doesn’t include example statements.

  • MetaArchive Preservation Policy Template: Digital Preservation Policy & Planning Workshop (2010) - Similar to the NEDCC Digital Preservation Policy Template, this resource includes headings and hints as to what to include in each section. This template goes into a high level of detail on what to preserve and which preservation strategies may be employed.

  • DPOC project preservation policy templates (2018) - Two different templates are available to download from Oxford and Cambridge. The Cambridge template gives a format/style for the policy and includes the headings that you might wish to use; the Oxford template also includes a short description of what you might want to include in each section.

  • DDHN Digital Preservation Policy Road Map - The Dutch Digital Heritage Network’s guide for creating a policy road map (Dutch language only).

 

Preservation policy frameworks and headings

  • Digital Preservation Policy Framework: Development Guideline Version 2.1 - Originally created by Nancy McGovan, this framework is specifically designed to address the seven attributes of a Trusted Digital Repository. Rather than being for the creation of an aspirational policy it reflects on the current capabilities of a digital preservation program.

  • Analysis of Current Digital Preservation Policies, Madeline Sheldon, Library of Congress (2013) - This report describes the high-level analysis of digital preservation policies or strategies published during 2008 and 2013. Analysis includes what types of topic various institutions thought to include, or exclude, within their policies, and to what extent, or detail, they covered each element. A taxonomy was developed based on most commonly cited elements. The report includes a final list of 19 criteria or topics to cover.

  • Digital Preservation Policies Study, Neil Beagrie et al. (2008) - This study relates most specifically to higher education, but includes some useful information relating to policy headings and example statements.

  • Digital Preservation Policy Framework - This framework from the DPM workshop team describes a policy framework centred around 5 stages: Acknowledge, Act, Consolidate, Institutionalize, Externalize (last updated 2016).

 

Policy examples

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Template for building a preservation policy

A detailed guide for building a preservation policy, with lots of references to existing policies. Use this to establish the structure of your policy and to guide the development of its content.

How to use this section to write a policy

This part of the Toolkit has been developed to help you structure and write the detailed sections that will make up your digital preservation policy. The sections that are most important to include have been labelled ‘Recommended’. All other sections are ‘Optional’ and you will need to consider whether they are useful for the organizational context in which you work. Note that the intention is to indicate areas and topics that should be covered within a policy, but not to mandate the use of particular headings or structure. It is perfectly acceptable to combine or retitle sections if this is more appropriate for your organization.

The following are the ‘Recommended’ and ‘Optional’ headings for a preservation policy:

  1. Summary (Optional)

  2. Purpose (Recommended)

  3. Strategy Alignment or Mandate (Recommended)

  4. Scope (Recommended)

  5. Policy Principles (Recommended)

  6. Roles and Responsibilities (Recommended)

  7. Standards and Models (Optional)

  8. Sustainability (Recommended)

  9. Related Documents (Recommended)

  10. Glossary (Optional)

  11. Contact (Optional)

  12. Document Control (Recommended)

 

Do not feel that you have to include all sections covered by this Toolkit. One of the findings from policy analysis work carried out by a Digital Preservation at Oxford and Cambridge (DPOC) project and described in a blog by Edith Halvarsson was that a policy which covers all possible preservation policy headings is not automatically more effective than a policy that only covers a selection – in fact the opposite is sometimes the case.

Do add in any other sections that you think you need in order to create the right policy for your institution. There is no correct order for the headings – they are arranged logically, but will almost certainly need to be ordered to meet the expectations of your audience.

Each heading of the preservation policy template includes some guidance notes on what you should put in the section, incorporating hints and tips on what works well (and sometimes what doesn’t work so well). This advice is followed by a selection of examples from preservation policies we like.

 

A note on the policies linked from this section

We have linked to a range of different digital preservation policies from this section of the toolkit. We hope that these examples are helpful to you in providing inspiration for crafting your own policy statements. You may wish to write your own text from scratch using the guidance provided, or you might find it easier to find a statement that you like from an existing policy and use that instead. It is OK to borrow statements from the preservation policies of other organizations, but we would encourage you to ensure that the statement really meets your needs and reflects the direction and priorities of your own organization. You may find you want to tweak or reword it to ensure it does what you need it to. If copying a significant portion of a policy from another organization word for word, it is common courtesy to contact the policy owner and check that they are happy for you to do this.

Though we have tried to ensure that a range of different types of organization are represented in the examples, there are a far higher proportion of policies included from universities. This is primarily because universities are more likely to make their policies publicly available. If you know of good practice examples from other sectors that you think should be linked from this toolkit, do let us know!

We have tried to link only to those policies that are current and are being actively maintained, but note that policies can (and indeed should) be reviewed and updated regularly. It is our expectation that the policies we reference will be superceded and that links within this toolkit will break. We have quoted the relevant section of text throughout the template so that it is there for you to access. Section headings and numbering have been stripped out. If you would like to see how the selected text fits in with the policy as a whole, you may wish to access the original policy document, so we have included a link to allow you to do this. If the link is broken, do go to the Internet Archive and paste the policy url into the search box, or alternatively search for the latest preservation policy on the website of the organization (note that most organizations only make their current policy available online).

We intend to review and update this toolkit every 3 years to update example policies and links.

 

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Step-by-step guide to building a preservation policy

A step by step guide to the researching, drafting, establishing and sustaining a preservation policy. Use this to plan out how you will develop and establish your new policy.

Developing a policy is a multi-stage process. This section expands on and develops the stages originally published in the DigitalDPC_icons_stepbystep2.jpeg Preservation Handbook (2015). The main steps and activities that should be carried out are as follows: 

  1. Audience and advocacy.

  2. Establish purpose.

  3. Research.

  4. Draft Policy.

  5. Review and engagement.

  6. Gain approval.

  7. Communicate and maintain momentum.

  8. Publish publicly.

  9. Implementation (business as usual).

 

1. Audience and advocacy

Before writing a policy, you need to determine the audience(s) so that you can adopt the right tone, language, and background knowledge. This will ensure that your document is impactful. Consider the following: which organizations, departments, or individuals will be required to use this policy? Who will need to refer to it in the course of other, related, work? Who may be interested to read this policy, even if they are not a part of your organization? It’s worth identifying the relevant partners and managers you hope to work with. These could include:

  • those who will be working on digital preservation processes directly.
  • those who will want access to preserved materials.
  • the bodies who fund your preservation programme.
  • those who publish, contribute or deposit content that you will preserve.

Policies can both document practices that are currently followed, and introduce aspirational processes that you hope to follow in the future. So when you consider your audience, you may want to think about how you are advocating for support for your digital preservation programme. Consider the following questions: How can this document be written in order to demonstrate your adherence to good practice? How may this policy be used to help reach your digital preservation goals in the future?

 

2. Establish purpose

The purpose of all policy documents is to formulate principles that will enable an organization to reach its long-term goals or successfully fulfill its responsibilities or mandate. It will ensure that points of view held by the governing body of an organization are translated into steps that result in a compatible outcome. Policy will influence and determine all major decisions and actions and should therefore be formulated as a realistic and achievable framework for action.

The creation of a digital preservation policy document will be an opportunity to set out a number of definitions and principles that will provide a foundation for concerted action. By clarifying roles and responsibilities, scope, and principles, everyone involved with, or interested in, the digital preservation activities of the organization will have a clear and consistent understanding of what is required and what to expect.

When drafting the policy, give thought as to how the document will be used, both as a tool for advocacy and to help guide the creation and implementation of related strategy, targets or roadmaps.

The policy will also help to describe what constitutes digital preservation activity as distinct from related actions that are often conflated with digital preservation. Assumptions are often made by non-specialists, for example, that digitization and digital preservation are the same thing. Assertions are also often made by IT and system administration specialists that preservation is synonymous with, and sufficiently addressed by, the allocation of digital storage and the configuration of appropriate backup or disaster-recovery measures. The purpose of the policy, therefore, should be to clearly define the parameters for action with a view to adding value for the organization.

 

3. Research

Before writing policy, it is important to understand the organizational context in which the policy will exist. Time should be spent investigating existing policy, understanding business drivers and the needs of people or agencies who support or benefit from the organization. This phase will also incorporate research into good practice for digital preservation policy and strategies, examining other tools and resources available as well as reading preservation policies from comparable organizations.

Listed below are some of the questions you might find useful in your research as part of developing your own digital preservation policy. The answers to these questions will help inform your policy writing. Note that not all questions will be relevant or applicable to all organizations – those who do not yet have established digital preservation infrastructure and procedures should focus more on where they would like to be, rather than on what is happening now.

Organizational context and policy landscape

  1. Is there background to this policy that you would like to share with its readers? How you got here, the work you did, the mandate you have etc.?

  2. What is the mission of your organization, and how do you want the policy to support this? Do you have a statement of values, vision or mission statement that you want the policy to reference?

  3. Is there a top-level, organizational strategy under which the preservation policy will sit? Which parts of it should the preservation policy reference?

  4. How will the digital preservation policy relate to existing policy and procedure for physical content? What is the relationship to other policies from your department/institution?

Policy purpose and scope

  1. What is the fundamental purpose of the policy?

  2. Do you want the policy to reflect current practice or be aspirational?

  3. What is in scope for this policy (e.g. departments, materials, business data, digital collections)?

  4. What is not in scope for this policy?

  5. Are there any relevant standards or models that are relevant to your digital preservation work or that will help you move forward (e.g. OAIS, PREMIS, DPC RAM, NDSA Levels of Digital Preservation, DCC Lifecycle Model)?

  6. What policy principles do you want your organization to adopt? Are there particular topics you want to cover or areas that you would like to focus on?

Legal framework

  1. Are there any external policies/guidelines/legal statements you need to take into consideration (e.g. General Data Protection Regulation (GDPR), Archives Service Accreditation, Repository Certification, regulatory compliance)?

  2. Could your policy be required as defence against potential legal challenge by end-users who are reliant on digital preservation procedures?

Owners, oversight, audiences and communication

  1. Who will own this policy?

  2. What group will have oversight of the policy being implemented?

  3. What role/group will update the policy when it comes up for review?

  4. Who are the audiences for your policy? You may be writing this for a particular purpose, but who else could benefit from reading it?

  5. Who else needs to be involved? Establish who will comment on drafts of the policy and who you need to communicate the completed policy to. You may wish to include users of the digital content (whether internal or external to your organization).

  6. How will the policy be communicated?

Implementation and future review

  1. How will collaboration across your organization (and perhaps beyond) help to deliver this policy?

  2. How will the implementation of this policy be tested and reported?

  3. What is the review schedule for this policy?

Case studies

This case study from The Ohio State University Libraries has lots of useful contextual and background information around how to undertake research before writing a digital preservation policy.

 

4. Draft policy

Once you have undertaken initial research you should be ready to start drafting an initial version of the policy for comment and review. Consider how you are going to do this and who needs to be involved. Do you have all the information that you need? Would a more collaborative approach to drafting the policy work well? As part of the Book Sprint event to create this resource, the University of Bristol brought together 5 members of staff to draft their preservation policy as a group. They found this to be an effective way of developing a policy in a very short space of time. You can read about how this worked for them in the University of Bristol Case Study.

Before you start to write, consider whether it would be helpful to establish some basic guiding principles. You can refer to these throughout the process to ensure the policy is on the right track and that you haven’t moved too far away from the goals you set out. A helpful blog post from Edith Halvarsson describes the principles that guided the policy development work at the Universities of Oxford and Cambridge as part of the DPOC project.

In establishing your own guiding principles, you may wish to refer back to the What makes a good digital preservation policy? section of this Toolkit and pick out those elements that are important or relevant to you and your institution. These may relate to the length of the policy, the use of jargon or clarity of language for example.

Once you are ready to start writing, refer to the Template for building a preservation policy section of this Toolkit. This includes a list of policy headings and an explanation of what each heading should cover. Real-life examples of policy statements from different organizations are included to provide some inspiration.

 

5. Review and engagement

Before proceeding, ensure that your draft policy meets with your guiding principles and matches with the suggestions of What makes a good digital preservation policy?.

Experience shows that digital preservation is likely to involve a diverse range of partners and colleagues across, and external to your own organization. They all have a role in the successful delivery of your policy, and if they are not engaged properly can delay, deflect or defeat the goals you have set out. So encouraging their participation and support is tremendously helpful: it can speed adoption, give early warning of challenges that may arise, and embed the policy within existing policy and procedures. Therefore it makes a lot of sense to build in some time for consultation about the draft policy to ensure the engagement and contributions of all those involved. This will likely set the tone for the collaborative delivery of digital preservation services, so feedback and comments should be considered carefully and managed transparently.

This review is likely to include participation from the following groups:

  • IT departments and services who may need to support technical infrastructure.

  • Data creators who generate content that will need to be preserved.

  • Depositors who may supply content for preservation.

  • Users who may wish to access content and are able to supply a use case.

  • Partners in the global digital preservation community who may be able to support or review your work collaboratively.

This process of review and consultation can be as formal or informal as you need, depending on the culture and norms of your organization. At the more formal end it’s possible to develop a stakeholder analysis, but even here most analyses start with a simple list of people and functions that have some role, however small, in the delivery of a policy objective.

A more formal analysis would begin by identifying stakeholders and categorizing them as ‘Key Stakeholders’ (whose support is essential); Primary Stakeholders (who will have a direct impact on a preservation programme); and Secondary Stakeholders (who will have an indirect impact). Stakeholder analysis like this would go on to measure the ‘power’ and ‘interest’ of each stakeholder group and respond accordingly. Close attention is paid to those with the most power and most interest in a programme, who will need to be consulted on an ongoing basis and whose requirements will be prioritized; relationships with those with less influence over the programme or less interest in the outcomes can be monitored, but their requirements may not be prioritized. The power and interest of stakeholders may change through the lifetime of a programme or service, so longer-term activities (like preservation) may need to have their stakeholder analysis periodically reviewed and updated.

Formal stakeholder analysis can be tremendously helpful, but its real purpose is to make sure that all the relevant partners and colleagues have had a chance to influence and contribute to the policy which they will ultimately help you deliver. An open, honest and ongoing dialogue will serve you well however you choose to structure it.

Remember that if you are a Member of the DPC the DPC team may also be available to provide some feedback on your policy draft. Contact us if you would like to request this service.

 

6. Gain approval

Most organizations will require new policy documents to be officially ratified by the management board. Make sure you are aware of the approval process within your organization and any requirements that will need to be fulfilled. Once ratified, the policy will carry more weight and as a result will be easier to implement as part of ongoing strategy.

There is no single way to handle this approval process as it will vary significantly in different agencies. In large or complicated organizations the process is likely to take longer, and may also require some formality with documents shared in good time ahead of meetings. A thorough stakeholder analysis (above) should make this process easier. Consider whether any additional advocacy work for digital preservation is required alongside the process. A well-written policy should speak for itself, but if you feel your audience needs further explanation a tool like the Executive Guide on Digital Preservation may help. It is likely that the decision will be ratified by a committee which may have many other items to consider, so it may be worth ensuring that there is already support in the committee, such as from a digital preservation champion. As far as possible, let the committee ratify a decision or recommendation that has already been largely agreed in advance.

 

7. Communicate and maintain momentum

A successful policy is actively used and referenced by staff. The process of researching and developing one is a great way of initially engaging colleagues in digital preservation issues, and a policy communication plan helps you continue that momentum once the policy document has been approved. If staff are not aware of the policy, it can easily become neglected and unused.

While waiting for approval for the policy, begin drafting a communication plan for how you will reach other key stakeholders and staff. The communication plan might include:

  • A list of the groups of people you want to make aware of the new policy.

    • Example: new staff, donors, IT department, collections staff, etc.

  • Ways you will engage these groups.

    • Example: Induction talks for new staff, staff newsletters, staff meetings, etc.

  • Where the policy will be published.

    • Example: staff intranet, organizational website, document management system, etc.

Communication of a new policy will often lead to questions around how it will be implemented. This is particularly the case if the policy is aspirational and the infrastructure and procedures are not yet in place. Consider how the policy impacts the people you are communicating it to, and consider how you will answer questions that might arise. You may want to pre-empt these questions by providing some specific guidance in your communications. This can be useful even if your answer is that an implementation plan or roadmap is currently being written.

Look for opportunities to sustain the successful engagement that has been made in developing the policy. A cross-departmental group that helped produce the policy could continue to act as champions to push forward implementation and adoption across the organization. Establishing a steering group with oversight for digital preservation activities could help to solidify this approach.

 

8. Publish publicly

Making your policy available online is normally considered a good idea (unless you have specific reasons not to). Many organizations that carry out digital preservation activities want to show openness and transparency, and feel that publishing policies online helps demonstrate to external stakeholders that they are addressing digital preservation in an appropriate manner. If you intend to go through certification or accreditation channels you will need to be prepared for others to look at your policy documents, and if they are online already you will be one step ahead.

Your policy should be easy to use and to cite in other policies and documentation. The techniques you use to do this may depend in part on the intended dissemination format and platform. If your policy is online, consider using persistent identifiers such as Digital Object Identifiers (DOIs) to enable long-term citation of the policy during its lifetime, and to ensure it is crawled by relevant web archives.

Good examples of online digital preservation policies include:

  • Cambridge University Libraries Digital Preservation Policy (2021)- here the preservation policy is held within the organization's institutional repository. Not only does it have its own DOI (providing a consistent way to reference it) but it also provides context and citation details. The policy itself can then be downloaded as a pdf file.

  • National Archives of Australia's digital preservation policy (2020) - this preservation policy is formatted as a web page rather than a separate document for download. This facilitates hyperlinks between the different sections of the policy and allows for greater flexibility with formatting of the text, meaning some sections of the policy are hidden and can be expanded by the reader if required.

If your policy is published online as a web page (rather than a downloadable file), do make sure it contains the necessary information for citation. Policy date is often unclear where the policy is formatted as a web page but this information can be incredibly useful to those who are accessing the policy.

It is good practice to use section and paragraph numbering to ensure that individual parts of the policy can be easily referenced. This can dramatically increase the usability of the policy. Policies that contain long paragraphs of dense text can be off-putting for potential readers, and also make it harder to cite individual elements. If your policy is long (for example, more than 8 pages) a table of contents at the start of the document will make it easier to use. Page numbering is also useful, however lengthy the document is.

 

9. Implementation (business as usual)

The steps required to implement your policy as ‘standard business practice' will vary considerably. An aspirational policy in particular will require a detailed plan to establish how it will be implemented. It may be necessary to put in place new procedures, systems and technologies, or staff training. In some organizations a business case may be required to gain the resources required to establish a digital archive, or a specific digital preservation programme may need to be put in place.

Remember that your new digital preservation policy should have an impact on the wider policy landscape within your organization. As you write your policy you are likely to reference related organizational strategy, policy and procedure documents. In order to move your new policy to standard business practice, ensure that other policies are updated in line with the digital preservation policy and reference it where appropriate. This cross referencing will help embed digital preservation in your organization.

It is important to manage expectations and accept that moving forward with digital preservation from first steps to a ‘business as usual’ footing may be a long process. Having a policy to back up and validate what you are doing will be a huge help.

Here are some additional resources that may help with policy implementation:

 

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What makes a good digital preservation business case?

This section captures experience pooled from within the DPC on what makes a good business case. Use this to avoid obvious pitfalls and take advantage of approaches that have been successful for other DPC Members.

What makes a good business case?

What makes a bad business case?

Using the correct format

Many institutions use an established template for business cases, and ensuring it is submitted at the correct time in the organization’s planning cycle will avoid needless rejections.

Not understanding organizational requirements

This can lead to a Business Case which is structured or scaled inappropriately for your institution and/or scope of your proposal.

A clearly articulated statement of need

State what you are asking for, why you are asking for it, and why you are asking for it now.

No groundwork

Failure to prepare and smooth the way for the case, and a lack of explanation of the business case context or need for change.

Use of clear and concise wording

Clear, concise wording, an easily understood structure, language appropriate for the audience should be used, and visual aids employed where needed. An Executive Summary should be included to provide a quick overview of the key points. A glossary can be useful if further detail must be provided.

Dense text

Long sentences, paragraphs or jargon and notes that detract from the readability of the document. Lack of an engaging hook or narrative to connect with the audience and make a convincing case for acceptance.

Fit with the organization’s mission

A proposal with a strong fit to the organization’s mission and key strategic priorities.

No fit with the organization’s mission

Deviating from the core mission or aims of the organization will make it more difficult for your business case to persuade stakeholders and decision makers.

Tightly defined scope of proposal

Be precise about what exactly you are asking for, including how you will avoid scope-creep. Be clear on what exactly will be achieved by implementing your Business Case, and any success criteria that will determine completion. Bear in mind that benefits may be different for different stakeholders.

Undefined or insufficiently defined scope boundaries

This may be interpreted as a proposal that is likely to lose focus and/or not deliver its aims. If the deliverables of your business case are not clear (or seem open-ended) this is likely to impact its chances of success.

A clear, phased (if appropriate) and realistic implementation plan

Include reference to human resources, infrastructure, and other support, as well as timescales and how you will manage the risks associated with implementation and avoid unnecessary disruption across the organization.

Unrealistic implementation plan

Great proposals but unrealistic timescales, budgets or an unclear plan.

A clear analysis of the implementation costs

Consider additional infrastructure, IT services/ equipment, human resource etc. The costs afforded to implementation should be realistic. The distinction between any capital investment and recurrent costs should be clear. Including costs of inaction can also be persuasive.

Vague, estimated costs

Costs which are obviously too high (on the basis that they will get haggled down) or too low (on the basis that they will get through, but will then incur extra costs along the line).

Risks and benefits

A balance between a frank statement of the risks faced by your project and the benefits or opportunities it will deliver, and how these relate to organizational strategy.

Poor consideration of the risks and benefits

Try not to skew your analysis in favour of either benefits or risks and provide a realistic picture.

Assumptions

Identification of any assumptions which have been made in the planning of implementation as well as any dependencies (on infrastructure, other teams, external factors etc.)

Lack of consideration to the assumptions

Failing to identify the dependencies which underpin implementation could lead to issues further down the line (if the Business Case is accepted at all).

Evidence to support the case

This can include evidence of demand, authoritative external sources, case studies to demonstrate how this has worked well elsewhere or modeling to show how efficiencies and benefits can be realized.

Insufficient research

This will leave your business case without the evidence or backing to succeed.

Collaboration

Persuasive arguments in favour of collaboration (with trusted third parties) if that is the organization’s preferred approach. And similar if the organisation prefers to build in-house.

No collaboration

Where collaboration with others is key to the business case but not properly justified. Cost savings, efficiency gains, improved reputation etc. are all good reasons to collaborate; lack of capability, internal resistance to change, or fear of failure, are not.

 

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What makes a good digital preservation policy?

This section captures experience pooled from within the DPC on what makes a good (and bad) policy. Use this to set off in the right direction for creating your new policy.

You may wish to summarize some of these points and other relevant requirements into a set of guiding principles to inform your writing of the policy – you can refer back to these throughout the process to ensure you are meeting the aims you set out.

What makes a good policy?

What makes a bad policy?

A document of 4–8 pages is easy to read and understand, especially for managers and colleagues not involved in digital preservation work on a daily basis.

A document that is overly lengthy, takes a long time to read or is hard to understand. This may become a barrier to the participation and support you might need to progress.

Uses language that is as concise as possible without jeopardizing the clarity and usefulness of the text – why use 10 words if you can say it in 5 without losing the meaning?

Trying to insert all input from all sources with no rigorous editorial control or reference to a template.

A document built on credible research and appreciation of context.

Trying to write the policy before all aspects of the environment are understood and all potential implications of implementing the policy have been examined.

A document that is clearly laid out using a logical sequence, hierarchy and appropriate formatting (bullet points, numbering etc.)

Dense text with long paragraphs with references and notes that detract from the readability of the document.

The policy is written in a style that is appropriate for the audience using clear and accessible language.

A reliance on jargon, acronyms and too much detail (which may put off non-specialist readers who may be key stakeholders).

Clearly references other, related, policy, strategy documents in the organization, and is formated using a house style.

A document that appears to be an isolated and anomalous policy with no apparent sanction or buy-in from the organization.

A policy that is aligned with the vision, mission and strategy of the organization.

A policy that is misaligned with the broader purpose of the organization.

It is up-to-date with an appropriate and clearly defined schedule for review.

So much detail (for example named tools, solutions and suppliers) that it quickly goes out of date, making the task of updating it onerous.

There is clear ownership of the policy at a high level within the organization.

Insufficient senior ‘buy-in’, resulting in a feeling that compliance and implementation of the policy is discretionary.

It is focused on a self-contained and logical single area of activity or requirement.

It covers too much ground and attempts to address other gaps in the policy landscape.

Includes a clear mechanism for enabling stakeholders to give input to the policy and suggest changes and improvements.

The finished policy is regarded as a finalized and static document.

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Introduction

This section provides an overview and introduction to preservation policies and this toolkit. Use this to find out more about the toolkit and how to apply it.

What is a Digital Preservation Policy?

A digital preservation policy expresses a set of principles which will guide an organization in the way it approaches preservation activities and responsibilities. A digital preservation policy should relate to organizational objectives and other policies (see diagram below); set out, and be easily understood by, its audience; should identify roles, responsibilities and scope; and should be reviewed regularly in line with other organizational documentation.

While an institutional strategy is typically a long-term plan for the achievement of its vision and goals, many organizations do refer to their policy document as their strategy. Strategy and policy are complementary, but typically try to achieve different things. In reality, the terms are often used interchangeably.

The principles which underpin a policy are high-level guidelines which an organization has agreed upon. Practical day-to-day implementation of principles is generally described in separate, more detailed ‘procedures’ and ‘process’ documentation. The latter go into technical detail and are living documents which are regularly updated.

The purpose of a policy is to support consistent decision making about digital preservation over time (and across the organization). A policy can be either aspirational or describe the current state of play.

PolicyRelationshipsDiagram

Possible relationships between a Digital Preservation Policy and other organizational policies (the policies included are not intended to be comprehensive).

 

Why do you need a Digital Preservation Policy?

Establishing a policy can be an important early step in developing a new digital preservation capability or formalizing and enhancing a well-established one. A policy does not just guide digital preservation activity, it can also act as a powerful internal advocacy tool.

Some of the benefits of establishing a digital preservation policy are listed below:

  • Provides a mandate for preservation and gives clarity on its scope and aims.

  • Guides staff in their activities relating to digital preservation and informs lower-level guidance and procedures.

  • Supports effective decision making.

  • Ensures digital preservation activity across an organization is consistent and efficient.

  • Helps to raise awareness of digital preservation across an organization.

  • Acts as a driver to establish buy-in from senior management.

  • Solidifies commitment of the institution/organization to deliver digital preservation.

  • Helps support a business case for further digital preservation activities and capital investments, such as a digital repository.

  • A published preservation policy can provide an indication of trustworthiness to those outside an organization.

 

What if your organization doesn't want a digital preservation policy?

Some organizations are moving away from having an extensive suite of policies to guide and inform different areas of their work. There can be various reasons for this, and if this decision has been made at a high level, you may not be able to influence it. You will therefore need to think creatively about how to achieve the benefits listed above. There may be another type of document you could work on that would suit your organization better; you may be able to incorporate some wording about digital preservation into another document. There may even be benefits to be had from combining principles for digital preservation with other aspects of your organization's work. For example, a combined preservation policy for both physical and digital materials may help ensure that digital preservation is not a siloed activity within your organization; combining digital preservation into IT or records management documents again may be helpful in ensuring digital preservation is better communicated through those departments. Consider what is right for your organizational context. The most important thing to focus on is that the organizational commitment to digital preservation should be documented and flagged up at a high level - whether this is in the form of a document called a 'digital preservation policy' or not.

 

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WDPD Posters

 

 

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WDPD Logos

 

The DPC would like to thank the following individuals and organisations for translating and providing WDPD Logos in a multitude of international languages:
Eileen Lim, Library and Archives Canada; Barbara Signiori, Swiss National Library; Rob Buckley, UAE Archives; Brecht DeClercq, VIAA; Joshua Ng; Viknesh, Asian Film Archives; Maung Okkar, Save Myanmar Film; Efi Sri Handayani, Indonesian Film Center; Lisabona, Moving Image Preservation and Presentation Consultant; Sanchai Chotirosseranee, Film Archive, Thailand; Bono Olgado, University of the Philippines; Miguel Angel Mardero Arellano, IBICT Brazil; Panagiotis Papageorgiou, University of Portsmouth; Dutch Digital Heritage Network; CSC - IT Center for Science Ltd; Ex Libris; Dr. Ramesh Gaur, Indira Gandhi National Centre for Arts (IGNCA); National Library of Ireland; Akiko Kimura, British Library; Raivo Ruusalepp, National Library of Estonia; Karin Bredenberg, Kommunalförbundet Sydarkivera; Özhan Sağlık, Bursa Uludag Universitesi; Sally McInnes, National Library of Wales; Thandokazi Maceba, Digital Library Services (DLS) at UCT Libraries; Trine Kruse, Arkivverket; Abigail Wharne, Rotorua Library | Te Aka Mauri; and Joanna Wilk, Leeds University Library.

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Full Member Lightning Videos

As part of our Connecting the Bits process for 2019, the DPC's Full Members have shared 3 minute Lightning Videos which outline:

  • 1 recent success story from their organization,
  • 1 key digital preservation challenge likely to surface in the next 5 years, and
  • 1 notable example of upcoming work (which may or may not be affected by that challenge).

From these videos, DPC staff will then extract this year’s themes and present them back to our four Sub-Committees as a set of discussion topics. Once the Sub-Committees have distilled the themes into a set of proposed activities for the DPC's program in 2019 - 2020, these will be presented for comment to all members through a set of Members Lounge, Connecting the Bits Specials on 13th June and 14th June.

Watch the videos 

Digital Curation Centre (DCC)

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The European Organisation for Nuclear Research (CERN)

Download presentation [PDF]

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Jisc

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National Library of Scotland

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National Library of Wales

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National Records of Scotland

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Public Record Office of Northern Ireland (PRONI)

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UK National Archives

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United Nations High Commission for Refugees (UNHCR)

Download the presentation [PDF]

UNHCR CTB 2019 Thumbnail

United Nations International Residual Mechanism for Criminal Tribunals (UN IRMCT)

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United Nations Office at Geneva (UNOG)

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University of Glasgow

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University of Oxford, Bodleian Libraries

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University of Sheffield

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Acknowledgements and thanks

MOW DPC

The Executive Guide on Digital Preservation was delivered through the collaborative efforts of DPC members and the digital preservation community and was supported by members of the UNESCO/MoW/PERSIST project.

  • This resource was first imagined and scoped by the DPC’s Advocacy & Community Engagement Sub-Committee
  • An Advisory Group comprising members of the DPC’s Advocacy & Community Engagement Sub-Committee and the UNESCO/MoW/PERSIST Policy Working Group provided advice, guidance and feedback throughout its development
  • DPC staff worked with contributors from across the digital preservation community to devise and tailor the statements which form the content of the Executive Guide, particular thanks are owed to colleagues from:
    • Academic Preservation Trust
    • British Geological Survey
    • BT
    • Imperial War Museums
    • Library and Archives Canada
    • Lloyds Banking Group
    • National Library of Ireland
    • National Records of Scotland
    • Tate
    • University of Glasgow
    • MirrorWeb
    • Preservica
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