Digital Curation Costs
A Risk Management Approach Supported by the Business Model Canvas
Diogo Proença
1,2
, Ahmad Nadali
1,2
, Raquel Bairrão
1,2
and José Borbinha
1,2
1
Instituto Superior Técnico, Universidade de Lisboa, Lisbon, Portugal
2
INESC-ID, Lisbon, Portugal
Keywords: Data Curation, Digital Preservation, Business Model Canvas, Risk Management.
Abstract: Data management has been emerging as a specific concern, which when applied through the full lifecycle of
the data also has been named of data curation. However, when it comes to the estimation of costs for digital
curation the references are rare. To address that problem we propose a method a pragmatic method based on
the body of knowledge of risk assessment and the established concept of Business Model Canvas. The
details of the method are presented, as also references to a tool to support it, and the demonstration is
provided by its application to a real case (a national Web Archive).
1 INTRODUCTION
Data is being increasingly perceived by
organizations as an asset and not only as simply a
resource required to support processes. Therefore,
data management has been emerging as a specific
concern, which when applied through the full
lifecycle of the data also has been named of data
curation. Within a data lifecycle, comprising from its
initial creation to final deletion, we also can find
processes to add value to that data, reassess it (as for
example, for compliance concerns), reuse it, etc., we
also realize an emerging concern with data
preservation.
The concepts of digital curation, and within it of
digital preservation, also have been used in the
domain of scientific data, where it is perceive that it
“involves maintaining, preserving and adding value
to digital research data throughout its lifecycle. The
active management of research data reduces threats
to their long-term research value and mitigates the
risk of digital obsolescence.” (DCC, 2014)
The main purpose of data preservation is to
ensure that data is reliably retrievable for use
anytime it is required. For the management and
engineering of data preservation several references
have been developed, namely the OAIS - Open
Archival Information System reference model
(CCSDS, 2012), which defines the concept of a
repository to support the digital preservation of
digital assets.
However, when it comes to the estimation of
costs for digital curation in general, and preservation
in particular, the references are rare. This is the
problem we therefore are addressing here.
Existing work already proposed an approach to
the analysis of digital preservation as a risk
management problem (Barateiro, 2010). Following
that, we decided to explore the potential of the Risk
Management (RM) concepts to advance in the
techniques to estimate costs of digital curation. In
fact, from this RM perspective we propose that costs
are what we have to give up for controls, which in
turn are the measures that we have to put in practice
to minimise loss or to maximise gain. In that sense, a
control is anything we are considering applying to
either minimise negative impacts or to take
advantage of opportunities to produce value and thus
bring gains. However, we must also agree that, in
most of the usual digital curation scenarios, it is
usually very difficult to estimate the absolute value
of an asset. For that reason, for now we ignored the
measurement of value, and focused only in the
identification of controls as the source of costs.
However, we also are aware that RM is a
complex area of expertise, requiring a complex and
usually expensive infrastructure of people and other
resources in order to be effective.
In order to address the expressed vision and also
the exposed limitations, our proposed makes use of
two tools: a risk registry and a BMC - Business
Model Canvas (Osterwalder, 2009).
299
Proença D., Nadali A., Bairrão R. and Borbinha J..
Digital Curation Costs - A Risk Management Approach Supported by the Business Model Canvas.
DOI: 10.5220/0005398502990306
In Proceedings of the 17th International Conference on Enterprise Information Systems (ICEIS-2015), pages 299-306
ISBN: 978-989-758-098-7
Copyright
c
2015 SCITEPRESS (Science and Technology Publications, Lda.)
A BMC requires organisations to conceive their
business model of nine blocks structured in a visual
canvas, which allows for easy understanding of their
business. This can help to understand both what can
positively affect the value propositions of the
business (opportunities) and what can negatively
affect those same value propositions (risks).
The idea behind our proposal is therefore to
understand an OAIS repository as a business in itself
(either autonomously, or as a service provided in the
scope of an organization), and identify and
understand the risks and their impact on each of the
nine building blocks of its BMC. We demonstrate
how the BMC technique can be used to find risks
and then controls for those risks. This in turn makes
it possible to estimate the related costs as part of the
overall costs of curation.
In conclusion, our contributions here proposed
for the digital curation problem are:
A pragmatic method for risk assessment, based
on the main references from the risk
management domain;
A generic BMC for the business of an OAIS
repository: This BMC can serve as template for
organizations where digital curation has an
important role, which can make local instances
of it;
A generic risk registry for scenarios of OAIS
repositories, created after analysing
DRAMBORA (DCC/DPE, 2007) and
comprising.
This generic BMC, with an associated generic
registry of risk questions and common related
controls, can be very relevant for the domain of
digital curation and for cost evaluation within that.
For validation, this pragmatic method was
applied to a real case study: a data archive in a
national web archive.
This paper is structured as followed. Section 2
provides an overview of the risk management
domain, and Section 3 describes the concept of
Business Model Canvas. Section 4 details the
method used to identify risks based on a BMC of an
organization. Section 5 presents the generic BMC
for digital preservation that can be instantiated to a
specific organization. Then, Section 6 depicts a
snippet of the risks and controls registry. Section 7
and presents a case study demonstrating the
application of the method. The paper is then
finalized by presenting the conclusions and future
work.
2 RISK MANAGEMENT
The main references on Risk Management from the
International Organisation for Standardisation (ISO)
are:
ISO Guide 73: Vocabulary for risk management
(ISO, 2009);
ISO 31000: Risk management principles and
guidelines (ISO/FDIS, 2009a);
ISO 31004: Risk management—Guidance for the
implementation of ISO 31000 (ISO/TR, 2013);
IEC 31010: Risk assessment techniques
(ISO/FDIS, 2009b).
According to those sources, organisations should
define internal RM processes taking as a starting
point the generic method proposed in ISO 31000
(ISO/FDIS, 2009a) (illustrated in Figure 1). For the
assessment activities of those processes, IEC 31010
(ISO/FDIS, 2009b) provides a catalogue of
potentially relevant techniques.
From ISO 31004 we learn that:
“The effect that this uncertainty has on the
organisation’s objectives is risk. (…) The
understanding that risk can have positive or negative
consequences is a central and vital concept to be
understood by management. Risk can expose the
organisation to either an opportunity, a threat or
both. (…) Controls are measures implemented by
organisations to modify risk that enable the
achievement of objectives. Controls can modify risk
by changing any source of uncertainty (e.g. by
making it more or less likely that something will
occur) or by changing the range of possible
consequences and where they may occur.” (ISO/TR,
2013).
So, even if we are not following a specific RM
method as part of the governance framework of a
repository, we cannot avoid having to deal with the
identification of risks and controls. However, as a
complete RM methodology can be complex and
expensive to implement, we are here proposing a
simplified method that can be used at least for a
preliminary phase of costs estimation. If, after the
application of this method, the stakeholders of a
repository feel the RM principles are valuable for
the governance of their case, and it is worthy to
consider a proper and full RM method, then at least
these preliminary results can be reused for that
purpose.
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Figure 1: The Risk Management Process according to the
ISO/FDIS 31000.
Key
Partners
Key
Activities
Value
Propositions
Customer
Relationships
Customer
Segment
Key
Resources
Channels
Cost
Structure
Revenue
Streams
Figure 2: The generic structure of a Business Model
Canvas.
3 BUSINESS MODEL CANVAS
The Business Model Canvas “allow a group of
people to fill it in through brainstorming sessions
and thus create a relevant understanding of their
business model”. (Osterwalder, 2009)
For that it makes use of nine building blocks,
illustrated in the Figure 2 (Osterwalder, 2009).
In a valuable canvas each block must have at
least one shared assumption about the business. A
group can even develop more than one BMC in
order to represent alternative understandings or just
different views of the same business.
After its initial proposal in (Osterwalder, 2004),
other authors developed or adopted the canvas
approach for other purposes, such as for example the
Lean canvas (LeanStack, 2014). In the meantime it
has been suggested that doing a BMC exercise is
already in some sense performing a risk assessment
(Parrisius, 2013) (McAfee, 2013). Other authors
have gone even further and proposed the hypothesis
that the BMC concept can even be extended to
support a pragmatic risk analysis (Schliemann,
2013). The motivation behind it is to understand
both what can positively affect the value
propositions of the business (opportunities) and what
can negatively affect those same value propositions
(risks).
The idea is to identify and understand the risks
and their impact (positive and negative) on each of
the nine building blocks of the BMC, as well as the
risk appetite of the stakeholders upon which a
business depends, such as regulators and investors.
There is a large body of knowledge from the risk
management community on how to assess and
measure risk through analytical tools, but this new
technique fills the need to introduce risk assessment
at a higher level, scoping it visually in consideration
for each of the building blocks of the BMC.
When applying this technique to identify the
risks and their impact there should be a series of
risk-related questions for each of the nine building
blocks of BMC. Simple examples of these questions
are proposed in the original business model risk
canvas, but for real use these should be scoped for
the business in question.
4 A METHOD TO IDENTIFY
RISKS BASED ON A BMC
It was inspired by the previous sources on RM and
BMC that we decided to explore the hypothesis of
developing and demonstrate a method to estimate
costs of digital curation. We believe such a method
can be useful in two possible scenarios:
“Current” scenarios, where the costs of controls
already exist in the repository as a means to
reduce the impact of a consequence of a risk,
change the likelihood of an event, or reduce the
exposure to a vulnerability;
“Future” scenarios, where the costs of controls
do not yet exist, but where repository managers
are able to consider alternative scenarios of
repository governance.
The foundations of this method draw from relevant
sources, such as the ISO 31000 and the BMC. The
core stages of the method are:
1. Define the Context: Define the requirements of
the main elements of the organisation (mission,
etc.); the assets (data and services), and the
external stakeholders and, based on that, define
the BMC for the scenario.
2. Execute a Pragmatic Risk Assessment: Use a risk
repository, or consult experts, in order to identify
relevant risks associated with the BMC.
3. Recognise Actual Risk Treatment (to apply in an
analysis of a “Current” scenario):
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Consolidate the risks identified (mainly, to
detect repetitions and overlaps). This is the
best step to also identify potential positive
impacts (if that also is a purpose).
Use internal information, and (if necessary)
also consult a risk repository or experts, to
identify the controls to apply for the
consolidated risks.
Estimate the costs for these controls (the ideal
is to calculate these costs precisely, however,
best estimates can also be useful).
4. Simulate Alternative Risk Treatments (an
optional activity, to be executed as many times
as needed, to explore possible alternative
“Future” scenarios):
Use internal information, eventually also can
be consulted a risk repository or experts, and
according to the businesses strategic view
and governance rules, conceive alternative
scenarios for controls of the identified risks.
This is the best step to explore opportunities
to exploit positive impacts (if that also is a
purpose).
Estimate the costs for these controls (make
the best estimate for the costs of this new
scenario).
The process is illustrated in the Figure 3 (diagram
expressed in BPMN, the Business Process
Modelling Notation language).
5 A GENERIC BMC FOR
DIGITAL ARCHIVES
A key reference for digital repositories as systems
conceived to support digital preservation is the
OAIS Open Archival Information System reference
model (CCSDS, 2012).
We therefore used it as our main reference to
develop the generic BMC for that domain. The
purpose of this generic BMC is to serve as a
reference template that can be instantiated to specific
organizations running an archive as part of their
business.
An OAIS is “an Archive, consisting of an
organization, which may be part of a larger
organization, of people and systems, that has
accepted the responsibility to preserve information
and make it available for a Designated Community.
It meets a set of responsibilities that allows an OAIS
Archive to be distinguished from other uses of the
term ‘Archive’. The term ‘Open’ in OAIS is used to
imply that this Recommendation and future related
Recommendations and standards are developed in
open forums, and it does not imply that access to the
Archive is unrestricted.” (CCSDS, 2012) This same
source proposes a reference architecture for this
concepts, as shown in the Figure 4. The document
was analysed and as a first step the Value
Propositions were identified. The value propositions
building block “describes the bundle of products and
services that create value for a specific Customer
Segment” (Osterwalder, 2009)
Looking at the OAIS functional entities (depicted
in Figure 4) it can identified the customers of an
Figure 3: BPMN diagram of the pragmatic method to estimate costs of curation focusing on risks and controls.
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archive as being the Producers and Consumers.
There is also another type of customer named the
designated community which is a potential
consumer.
Figure 4: OAIS Functional Entities (CCSDS, 2012).
The points of contact between the archive and
the customers are the functional entities Ingest and
Access. In Access there are two types of interactions
identified as queries and orders. These were
identified for Ingest as “Long-term preservation of
AIP”, which is the value that producers take out of
the archive. For the consumers interactions it were
identified two value propositions, one for the queries
depicted as “Resource Discovery” in the BMC and
one for orders which is identified as “Access to
Preserved Information” in the BMC.
From these value propositions the channels were
identified, the channels building block “describes
how a company communicates with and reaches its
customer segments to deliver a value proposition”.
(Osterwalder, 2009) In order to deliver the three
value propositions identified earlier there is the need
to create the appropriate channels as such it was
identified one channel for each of the value
propositions. In order to enable long-term
preservation of AIPs for Producers there is the need
to have a “Submission Service” to ingest data into
the archive for long-term preservation. Two enable
the resource discovery value proposition a query
service is needed to allow consumers to search for
holdings of interest in the archive. And finally to
access the preserved information there needs to be
an order service which allows consumers the retrieve
the identified holdings of interest from the archive.
The next step was to identify the customer
relationships which are described as “the types of
relationships a company establishes with specific
customer segments”. (Osterwalder, 2009) To engage
with Producers and ingest content the archive needs
to establish a “Submission Agreement” which
describes the data model of the information to be
ingested in the form of a Submission Information
Package (SIP), besides this the archive must also
allow a “SIP Submission Session” that allow
Producers to submit SIPs for ingest into the archive.
For resource discovery the relationship between the
archive and consumers is established using a
“Search Session” in which consumers perform
queries on the archive holdings. Finally, consumers
engage in an “Event or Adhoc DIP Dissemination
Session” to retrieve holdings of interest in the form
of a DIP which is created according to an “Order
Agreement” which has been agreed upon by both the
archive and Consumers.
The key resources describe “the most important
assets required to make a business model work”.
(Osterwalder, 2009) In order to allow for long-term
preservation of an AIP there is the need to have an
“Archiving Infrastructure” which supports the
ingesting of an AIP and also the preserved objects
described as “Preserved AIP” in the BMC. To allow
resource discovery of holdings in the archive the
“Archiving Infrastructure” is also needed to support
the execution of queries and the “Descriptive
Information” to allow consumers to find the relevant
holdings. Finally, to allow the access to the
preserved information the “Archiving Infrastructure”
is needed to support the generation of a DIP from an
AIP according to the Order Agreement. To finalize
the rationale behind the creation of this generic
BMC the key activities are identified. Key activities
describe “the most important things a company must
do to make its business model work”. (Osterwalder,
2009) If we look again to the functional entities of
an OAIS (Figure 4) the key activities are the
functional entities from OAIS. In order to allow for
long-term preservation of AIPs, the archive must
perform “SIP Ingestion and AIP generation” which
is the Ingest Functional Entity, it must also perform
“Preservation Planning”, “AIP Storage” which is the
Archival Storage Functional Entity and must
perform “Archive Administration” which is the
Administration Functional Entity. To allow resource
discovery the archive must perform “Data
Management” which allows access to descriptive
information necessary to identify relevant holdings
in the archive. Finally, for the archive to allow
access to preserved information it must perform
“DIP Dissemination” which is the Access Functional
Entity and must also have “Archive Administration”.
Regarding the Key Partnerships, Cost Structure
and Revenue Streams these could not be properly
identified from OAIS and according to our vision
these are context dependent. For example, an archive
can have software providers as key partners if the
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Figure 5: The generic BMC for OAIS.
software is developed outside of the archive.
However, there are archives that have in-site
development. The cost structure also changes
depending on the legislation of the archive and
established accounting laws. The revenue streams
are also context dependent, one archive might have
its main source of revenue from public funding if it
is a public organization, it might also provide
training which makes for another revenue stream. As
such, these building blocks are empty in the generic
OAIS BMC and are filled in the instantiations using
real cases. The generic BMC is presented in Figure
5.
Due to space restrictions, all the details of the
generic BMC cannot be presented here; therefore,
for the detailed descriptions and more information
please visit http://4ctoolset.sysresearch.org/.
The BMC presented in Section 7 is an
instantiation of the generic BMC based on OAIS
presented in section 5. For some of the objects in the
canvas there are specific case-dependent
instantiations of the object between square brackets.
For example, if there is an object with Producers
[Researchers] this means that for that specific case
the producers are researchers. There are also objects
there were not present in the generic OAIS BMC
and are specific for the case depicted in that BMC.
6 A REFERENCE RISKS AND
CONTROLS REPOSITORY
One other artefact that was realized to be important
to support the proposed method is a reference risk
repository for the domain digital curation. A risk
repository established concept in risk management,
meaning any kid of system used to store and
managed the knowledge required to support a risk
assessment process.
For that purpose, generic risks and controls were
identified after analysing the main reference in the
domain for this purpose, the DRAMBORA - Digital
Repository Audit Method Based on Risk
Assessment (DCC/DPE, 2007). DRAMBORA
results from an effort to conceive criteria, means and
methodologies for risk assessment of digital
repositories. A sample of the result of that analysis is
presented in Table 1. The detailed registry of risks
and controls can be found at
http://4ctoolset.sysresearch.org/.
Table 1: Generic risks and controls identification.
Id Generic Risks Generic Controls
R1
Business fails to
preserve essential
characteristics of
digital assets
Define main characteristics
of digital content for
information preservation
R2
Business policies and
procedures are
inefficient
Document and make
available business policies
and procedures
R3
Enforced cessation of
repository operations
Plan for continuation of
preservation activities
beyond repository's lifetime
R4
Activity allocates
insufficient resources
Use mechanisms to measure
activity efficiency in terms
of allocated resources,
procedures and policies
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Table 1: Generic risks and controls identification (cont.).
Id Generic Risks Generic Controls
R5
Community
requirements change
substantially
Identify, monitor and review
the understanding of the
community requirements
and of the repository
objectives
R6
Community feedback
not received
Use mechanisms (e.g. email,
surveys) for soliciting
feedback from repository
users community
R7
Community feedback
not acted upon
Define policies to
acknowledge community's
feedback
R8
Loss of key
member(s) of staff
Appoint a sufficient number
of appropriately qualified
personnel
R9
Personnel suffer skill
loss
Implement mechanisms to
identify ongoing personnel
training requirements
R10 Budgetary reduction
Define a financial
preservation plan to assure
self-sustainability of
repository
R11
Software failure or
incompatibility
Install software updates
R12
Hardware failure or
incompatibility
Monitor hardware
performance
R13
Obsolescence of
hardware or software
Maintain hardware/software
up to date to meet repository
objectives
R14
Media degradation or
obsolescence
Allocate resources to
monitor media storage
lifetime and assess potential
value of emerging
technologies
R15
Local destructive or
disruptive
environmental
phenomenon
Implement physical security
measures (e.g. video-record)
R16
Non availability of
core utilities (e.g.
electricity, gas)
Define internal means to
nullify disruption of service,
monitor and review contract
agreements of provider's
services
R17
Loss of other third-
party services
Document and review
service level contracts or
service commitments with
utility provider
R18
Loss of
authenticity/integrity
of information
Monitor, record and validate
integrity of received content
7 CASE STUDY: A NATIONAL
WEB ARCHIVE
This National Web Archive preserves the
information published on the web of clear interest
for the community for future access. It also provides
research resources, for instance, in the fields of
History, Sociology or Linguistics and preserves
information from the past that is no longer available
on the Internet. With the creation of a system that
supports regular crawls of the national web, its long
term storage and access, it is intended to provide the
following services: Term search over the archived
contents; URL search over the archived contents;
New search engine over the national web; Historical
collections of web contents for research purposes;
Characterization reports of the national web; Backup
system of the archived information; Archived data
parallel processing system.
As a complement, the National Web Archive
also strives to achieve the following goals: Train
human resources in web archiving to enable the
maintenance of the system in the future; Export
know-how, experience and technology in web
archiving to other countries; Contribute to increase
the number of domains registered under the national
domain; Publish scientific and technical papers that
enable the sharing of the acquired. The instatiation
of the BMC for this case study can be found at
http://4ctoolset.sysresearch.org/.
The risks were identified through the analysis of
the BMC for the case study and identified by their Id
from Table 1. Regarding the controls for the risks
identified, refer to Table 1. For a more detailed
analysis of the risks and controls for both the case
study visit the Holirisk tool in
http://4ctoolset.sysresearch.org/ in the page of the
BMC for this case study.
Revenue Streams - Risks related to the worth of a
repository business and the value it offers to the
community: R10.
Cost Structure - Risks regarding the cost to support
the repository business: R8; R13; R16; R18.
Channels - Risks related to the communication and
dissemination of the business provided by a
repository: R6.
Customer Segments - Risk that relates with what
the repository should deliver within the community
vision: R5.
Customer Relationships - Risks associated with the
community that makes use of the repository for their
research work: R7.
Key Resources - Risks related to the resources of
infrastructure and personnel which sustain the
repository business: R15; R3; R8; R9; R11; R12.
Value Propositions - Risks regarding the vision and
value of a repository: R1; R2.
Key Partnerships - Selected risks regarding the
outsourcing services repository may depend on to
deliver the preservation business: R13; R17.
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Using Table 1 and the detailed risks and controls
from http://4ctoolset.sysresearch.org/ as well as the
list of consolidated risks we can identify potential
controls for the identified risks.
8 CONCLUSIONS
This paper proposed a pragmatic method for
identifying risks from a Business Model Canvas
which is based in two different scenarios, (1)
“Current” scenario, where the controls already exist
in the repository as a means to reduce the impact of
a consequence of a risk and; (2) “Future” scenario,
where the controls do not yet exist, but where
repository managers are able to consider alternative
scenarios of repository governance.
The foundations of this method make use of
relevant sources of literature, such as the ISO 31000
and the Business Model Canvas. The focus of this
paper was to present the method as a pragmatic
technique, and provide some example for a case
study. This paper also provided two tools to
accomplish the goals of the method proposed: (1) A
generic BMC, which can be used as a template for
organizations to instantiate to their specific context
and (2) A risk registry for digital curation: a registry
of risks derived, and also common related controls,
relevant for the domain of digital curation.
The work on this paper was developed with the
aim of being simple and easily applicable to every
organization that has digital curation as part of its
core competencies, and proved to be effective in
identifying risk and controls relevant for an
organization based on the analysis of a BMC.
As future work, this whole method can be
implemented in a software system that deals with
risk management. As of now there is already a risk
management software named Holirisk (available
from http://4ctoolset.sysresearch.org/) that will
support the method described in this paper. Our
assumption is that this method will be relevant for
further organizations that want to gain knowledge of
the risks they face without the burden of a “full” risk
management approach.
ACKNOWLEDGEMENTS
This work was supported by national funds through
Fundação para a Ciência e a Tecnologia (FCT) with
reference UID/CEC/50021/2013, and by the project
4C, co-funded by the European Commission under
the 7th Framework Programme for research and
technological development and demonstration
activities (FP7/2007-2013) under grant agreement
no. 600471.
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