Conceptual framework on the implementation of workflows concerning appraisal, reappraisal, retention and preservation of digital objects

Relevance

This document proposes an approach to the logical choices, including assessments and interventions, that must be iterated over time to ensure the correct digital objects are appropriately retained and maintained.

Scope

Effective digital object appraisal, retention and reappraisal are fundamental to maintaining a reliable research data infrastructure. The workflows presented here may be implemented by a variety of stakeholders such as repositories, archives, and other research data management service providers and are relevant to research data support staff such as data stewards and data curators.

Main highlights

Aligned with the EOSC Long-Term Data Retention (LTDR) Task Force’s Terms of Reference; this paper on, Retention, (Re) Appraisal – Iteration Logic (RRAIL), draws on key work from the EOSC EDEN project (e.g., Core Preservation Processes), the FIDELIS project (e.g., Transparent Trustworthy Attributes Matrix – TTRAM), and the CoreTrustSeal Levels of Retention, Curation and Preservation (LoRCAP). These inputs help define repository characteristics and the metadata required to communicate different levels of care.

Together, this document provides a coherent model for improving decision-making, transparency, and long-term management of digital objects across the EOSC ecosystem.

Key recommendations

The RRAIL draws on three key components, which are assimilated and refined to construct the template workflow:

1. Component 1: Transparent Trustworthy Repository Attributes Matrix (TTRAM): This matrix from the FIDELIS project focuses on making repository information transparent, particularly concerning the digital object management lifecycle.
2. Component 2: Levels of Retention, Curation and Preservation (LoRCAP): Developed by CoreTrustSeal, this defines different levels of care offered by repositories: Retention, Deposit Compliance, Initial Curation, and Active Preservation.
3. Component 3: Core Preservation Processes (CPP): These processes are identified by the EOSC EDEN project and are relevant even for repositories offering lower levels of care than Active Preservation.

The RRAIL Lifecycle and Logic:

The document describes the lifecycle of a digital object as it undergoes Appraisal, Retention, and Reappraisal.

• Appraisal: This initial step, also called Deposit & Appraisal, involves a Deposit Compliance check, which may lead to the object being accepted or rejected.
• Reappraisal: This occurs at the end of a defined retention period or can be triggered early by external factors (e.g., repository closure). Outcomes include:
  • Retain without change.
  • Retain with change to the digital object.
  • Disposal (deletion or transfer to another repository).
• The document includes flowcharts that illustrate the logical and iterative options for both retention-only repositories and active preservation repositories (where a digital object’s status can change to/from active preservation).
• Reappraisal Triggers and Criteria: The criteria for reappraisal are based on digital object characteristics, internal policies, and external factors like technological deprecation (Technology Watch) or changes to user needs (Community Watch).

The document also integrates these concepts into Assessment and Intervention Points throughout the digital object’s lifecycle and concludes with a recommendation for Integrated Preservation Planning.