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Copyright TIMBUS Consortium 2011 - 2014
Conceptual, Technical and Business Pilots
WP 8 – Industrial Project 2: Civil Engineering Infrastructures
Delivery Date: 31/12/2014
Dissemination Level: Public
TIMBUS is supported by the European Union under the 7th Framework Programme
for research and technological development and demonstration activities (FP7/2007-2013) under grant agreement no. 269940
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Deliverable Lead
Name Organisation e-mail
Sven Euteneuer SQS AG [email protected]
Contributors
Name Organisation e-mail
Torsten Möllenbeck SQS AG [email protected]
Achim Parzentny SQS AG [email protected]
Daniel Draws SQS AG [email protected]
José Barateiro LNEC [email protected]
Joao Cardoso INESC-ID [email protected]
Goncalo Antunes INESC-ID [email protected]
Barbara Kolany-Raiser ITM [email protected]
Internal Reviewer
Name Organisation e-mail
Mykola Galushka SAP [email protected]
Michael Nolan Intel [email protected]
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Disclaimer
The information in this document is provided "as is", and no guarantee or warranty is given that the
information is fit for any particular purpose. The above referenced consortium members shall have no
liability for damages of any kind including without limitation direct, special, indirect, or consequential
damages that may result from the use of these materials subject to any liability which is mandatory due to
applicable law. Copyright 2014 by SQS AG, LNEC, INESC-ID, ITM.
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Table of Contents
1 EXECUTIVE SUMMARY ............................................................................................................................. 9
2 INTRODUCTION ......................................................................................................................................... 10
2.1 OBJECTIVE ........................................................................................................................................... 10
2.2 SCOPE ................................................................................................................................................... 10
2.3 CONTEXT .............................................................................................................................................. 10
3 ASSESSMENT MODEL ............................................................................................................................... 11
3.1 APPLICABLE STANDARDS ..................................................................................................................... 11
3.2 ASSESSMENT METHODOLOGY .............................................................................................................. 12
3.2.1 Process Reference Model ...................................................................................................... 12
3.2.2 Considered Capability Levels................................................................................................ 12
3.3 MODEL OVERVIEW ............................................................................................................................... 13
3.3.1 Processes ............................................................................................................................... 14
3.3.2 Process Dimension ................................................................................................................ 15
3.3.3 Capability Dimension ............................................................................................................ 15
3.3.4 Assessment Indicators ........................................................................................................... 16
3.4 PROCESS PERFORMANCE INDICATORS .................................................................................................. 17
3.4.1 Process Group Risk Management ......................................................................................... 17
3.4.2 Process Group Planning ....................................................................................................... 18
3.4.3 Process Group Preserve ........................................................................................................ 23
3.4.4 Process Group Redeploy ....................................................................................................... 24
3.4.5 Process Group Monitoring .................................................................................................... 26
3.5 PROCESS CAPABILITY INDICATORS ...................................................................................................... 28
3.5.1 Level 1: Performed process ................................................................................................... 28
3.5.2 Level 2: Managed process ..................................................................................................... 28
4 ASSESSMENT CONTEXT .......................................................................................................................... 30
4.1 ORGANISATION .................................................................................................................................... 30
4.2 BUSINESS CASE .................................................................................................................................... 31
4.3 PRESERVATION CASE ........................................................................................................................... 32
5 ASSESSMENT RESULTS ............................................................................................................................ 34
5.1 EXECUTION .......................................................................................................................................... 34
5.2 RESULTS OVERVIEW ............................................................................................................................ 34
5.3 RESULT DETAILS .................................................................................................................................. 35
5.3.1 PLAN.1 .................................................................................................................................. 35
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5.3.2 PLAN.2 .................................................................................................................................. 36
5.3.3 PLAN.2.1 ............................................................................................................................... 37
5.3.4 PLAN.2.2 ............................................................................................................................... 38
5.3.5 PLAN.2.3 ............................................................................................................................... 39
5.3.6 PRES.1 .................................................................................................................................. 39
5.3.7 DEPL.1 .................................................................................................................................. 41
5.3.8 RISK.1 ................................................................................................................................... 42
5.3.9 MON.1 ................................................................................................................................... 43
5.3.10 MON.2 ................................................................................................................................... 43
6 CONCLUSION .............................................................................................................................................. 45
6.1 PROCESS APPLICATION ......................................................................................................................... 45
6.2 PROCESS APPLICABILITY ...................................................................................................................... 45
7 RECOMMENDATIONS .............................................................................................................................. 46
A WORK PRODUCT CHARACTERISTICS ................................................................................................ 47
A.1 GENERIC WORK PRODUCTS .................................................................................................................. 48
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List of Figures
Figure 1: TIMBUS DP High-level Process Overview ......................................................................................... 13
Figure 2: Processes and enterprise architecture overview ............................................................................. 31
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List of Tables
Table 1: Process assessment standards .......................................................................................................... 11
Table 2: ISO/IEC 15504 capability levels .......................................................................................................... 13
Table 3: Overview of assessment results for LNEC ......................................................................................... 35
Table 4: Detailed results for PLAN.1 ................................................................................................................ 36
Table 5: Detailed results for PLAN.2 ................................................................................................................ 37
Table 6: Detailed results for PLAN.2.1 ............................................................................................................. 37
Table 7: Detailed results for PLAN.2.2 ............................................................................................................. 38
Table 8: Detailed results for PLAN.2.3 ............................................................................................................. 39
Table 9: Detailed results for PRES.1 ................................................................................................................ 39
Table 10: Detailed results for DEPL.1 .............................................................................................................. 41
Table 11: Detailed results for RISK.1 ............................................................................................................... 42
Table 12: Detailed results for MON.1 .............................................................................................................. 43
Table 13: Detailed results for MON.2 .............................................................................................................. 44
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List of Acronyms
BP Business process (used: BP-1, BP-2, etc.)
BP Base Practice (used: BP.1, BP.2, etc.)
CAD Computer Aided Design
CAM Computer Aided Manufacturing
CMMI Capability Maturity Model Integration
DP
ERM
Digital preservation
Enterprise Risk Management
GP Generic Practice
GR Generic Resources
GWP Generic Work Product
ISO International Standardization Organisation
IT Information Technology
LNEC Laboratório Nacional de Engenharia Civil
PAM Process Assessment Model
PRM Process Reference Model
SPICE Software Process Improvement and Capability Determination
WP Work Package
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1 Executive Summary
This deliverable presents the output of Task Conceptual Technical Business Pilots of work package Industrial
Project 2: Civil Engineering Infrastructures. The work described in this deliverable deals with an assessment
of the application of the TIMBUS Process on the LNEC use case defined in deliverables D8.1 [2], D8.4 [4] and
D8.7 [6]. In this use case the LNEC organisation is seeking to digitally preserve three core business
processes by means of the TIMBUS process, methods and tools.
In order to understand the degree to which the use case has been able to successfully utilize the above
mentioned contributions by the TIMBUS project, a process assessment methodology has been defined. The
maturity of TIMBUS process implementation at LNEC can be measured by this process assessment
methodology. This information can be used to understand how well the TIMBUS process and its associated
assets support the digital preservation of LNEC’s business processes. This insight shall help in understanding
the applicability of TIMBUS process and developed tools to real-world preservation needs.
The SPICE ISO standard [3] on process assessment was altered to match this difference in focus. Instead of
assessing how well the use case followed the defined TIMBUS process, the assessment documented in this
deliverable is focused on figuring out whether the TIMBUS process [1] and the developed tools are suitable
for the intended cause.
The assessment results document that the TIMBUS process and its methods were applied systematically
and consistently by LNEC. The business processes in question were preserved and redeployed successfully
according to the requirements defined by LNEC. Additionally, it could be witnessed that the applied
process, methods and tools by and large worked well in supporting the preservation activities.
Three subprocesses in the planning and monitoring domains, however, could not be implemented in the
context of this use case. The root cause of this is connected to how specific subprocesses and outcomes of
these subprocesses are supported by some of the TIMBUS tools. Further analysis and research is necessary
to define next steps, i.e. to adapt the process or to extend and modify the tools in use to better facilitate
the implementation of the process.
Additionally, some smaller improvement potentials were identified in the remaining processes, offering
input for further development of the process and its underlying methods and tools. These small-scale
improvement suggestions can be found documented throughout Section 5.
In summary the results indicate that the TIMBUS process, its methods and tools support the
implementation of digital preservation of business processes in a real-world scenario. Aspects such as the
subprocesses not implemented or the improvement potentials related to tool support and context
modelling indicate areas for additional research and development of the TIMBUS assets.
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2 Introduction
2.1 Objective
The purpose of this deliverable is to document all information related to the performance of an assessment
on the preservation case at Laboratório Nacional de Engenharia Civil (LNEC). It describes the Assessment
Model (the assessment approach) in Section 3. Section 4 describes the assessment context. This contains
an overview of the LNEC organisation and the business case which was preserved. The results of the
assessment are documented in section 5. Defined goal of the assessment was to evaluate the suitability of
the TIMBUS process and supporting tools for the digital preservation of the LNEC use case. Conclusions and
recommendations derived from the assessment are documented in the Sections 6 and 7.
2.2 Scope
To evaluate the process defined in the course of the TIMBUS project, it was applied to several use cases
and the application was afterwards assessed. The main goal of the assessment was to evaluate the
suitability of the TIMBUS process and supporting tools for the intended purpose.
2.3 Context
This deliverable describes assessment on a preservation case. It includes the assessment model and the
actual assessment results.
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3 Assessment Model
This section describes the model that is being used to conduct the assessment of the use case. This
assessment shall establish to which extent the use case has adopted the TIMBUS approach towards digital
preservation of business processes and their underlying IT support systems.
In order to facilitate capturing these aspects, the assessment needs to consider the application of the
TIMBUS digital preservation processes. The assessment will therefore audit the adoption of the TIMBUS
processes in order to preserve the use case’s business processes, i.e. the TIMBUS process forms the process
reference model (PRM) against which the implemented preservation processes are assessed.
3.1 Applicable Standards
Today there exist a wide range of standardised methodologies to assess the implementation of processes in
an organisation. Of this wide range, a majority of standards uses a two-pronged approach: They define both
a set of reference processes that are required to be implemented as well as a maturity measure to rate the
degree of implementation. This degree of implementation is rated against predefined steps or level, usually
ranging from a very immature implementation to a highly mature implementation.
The following table illustrates a number of standards which cover this approach of process assessments:
Table 1: Process assessment standards
Provides
Standard Reference
Process
Reference
Model
Maturity
Model
Capability Maturity Model Integration (CMMI) [Industry
standard, related to ISO/IEC 20000]
X X 1 X
Information technology — Process Assessment [ISO/IEC 15504] (X) 2 X (X) 3
Software Lifecycle Processes [ISO/IEC 12207] X
Information Technology Infrastructure Library (ITIL) [Industry
standard, related to ISO/IEC 20000]
X (X)4
1 CMMI compliance is established to the maturity model by way of appraisal. Alternatively the organisation can also be
appraised against a separate capability model. 2 ISO 15504 used to contain a process reference model of its own but this has been removed from the standard in
2004. 3 ISO 15504 does not provide a maturity model but provides a capability dimension as part of its reference model.
4 No certification for ITIL compliance exists, but compliance to ISO 20000 can be assessed and certified.
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Table 1 clearly illustrates the breadth of the available process quality assessment standards but at the same
time shows that for the purpose of the assessment of TIMBUS use cases, an assessment approach based on
ISO/IEC 15504 is the most suitable. Not only does ISO/IEC 15504 not require a predefined reference
process, it is also an international standard that is widely applied across the industry and it provides a
capability model sufficient for the purposes of the use case assessment as well as a description on how to
run an assessment. That way, ISO/IES 15504 can be adapted to assess against a range of reference
processes and is not limited to development-centric processes. While CMMI is geared towards assessing
the maturity of a whole organisation with all its business processes ISO/IES 15504 is focused on assessing
the capability in implementing specific processes. Therefore, ISO/IES 15504 is more easily adapted to the
needs of assessing the adoption of the TIMBUS process in the industrial use cases.
3.2 Assessment Methodology
This section delineates the assessment methodology, i.e. which reference processes the use case will be
assessed against and which approaches will be used to evaluate and rate the result of this assessment.
The assessment makes use of a process quality auditing methodology, as defined in ISO 15504. This entails
that the assessment of the use case is conducted based on the application of the TIMBUS process in the
context of this use case.
In order to perform this assessment, the use case processes are evaluated against a given Process
Reference Model (PRM). This evaluation will identify areas of compliance and compliance gaps with regard
to the use case process landscape, which – in turn – will be used to determine a capability level for the use
case with regard to its application of TIMBUS processes.
In particular, process evaluation methodology and capability levels for this assessment are based on the
respective parts of the methodology and capability levels defined in ISO 15504.
3.2.1 Process Reference Model
For the purpose of this assessment the TIMBUS process model as defined in “D4.6: Use Case Specific DP &
Holistic Escrow” [1] shall serve as the PRM. It clearly defines the involved processes of digital preservation
(DP).
For each of these DP processes the PRM provides the following components:
• Process Name
• Process Purpose
• Process Outcomes
All processes defined in the PRM will be in scope for this assessment.
3.2.2 Considered Capability Levels
ISO/IEC 15504 defines six capability levels (cf. 2). For the assessment of TIMBUS process application in the
LNEC use case not all six capability levels defined by ISO 15504 are deemed applicable.
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Table 2: ISO/IEC 15504 capability levels
Level Description
5 Optimizing process
4 Predictable process
3 Established process
2 Managed process
1 Performed process
0 Incomplete process
Only levels 0-2 are considered, due to the following rationale:
• The digital preservation process is a newly developed process;
• This assessment assesses its first time execution;
• Main goal is to determine whether or not the desired outcome could be achieved using the newly
developed digital preservation process.
Considering these constraints, it is deemed impossible for this use case to reach a level higher than
“Managed Process”, whilst reaching even this level is highly unlikely, as it would require not only
successfully implementing all subprocesses but also to establish a process management capability for these
subprocesses in parallel.
Figure 1: TIMBUS DP High-level Process Overview
3.3 Model Overview
This section defines and discusses the Process Assessment Model (PAM) for the TIMBUS process framework
for digital preservation developed by the EU founded TIMBUS Project.
The purpose of this PAM is to enable an assessment that determines whether the TIMBUS Process for
Digital Preservation as defined in the PRM is suitable to achieve its goal to capture the context of a business
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process, digitally preserve it in full and redeploy it to a new environment later on. The PAM is intended to
be used to assess three example implementations of the TIMBUS.
3.3.1 Processes
In order to ease the handling of the various (sub-) processes, inputs, outputs and relationships in the digital
preservation process developed by TIMBUS we break down the whole process as follows for the purpose of
this assessment:
The main processes (as shown in Figure 1) will be represented as accordingly named Process
Groups containing their processes as defined in the PRM.
Individual process steps (and/or sub processes) will be represented as Base Practices. In ISO/IEC
15504 a base practice is defined as “an activity that, when consistently performed, contributes to
achieving a specific process purpose” [3].
The concluding structure is laid out in the following paragraphs.
3.3.1.1 Process Group Risk Management
Process Identification Process Name Source
RISK.1 Risk Management [1] 3.4.2.1
3.3.1.2 Process Group Planning
Process Identification Process Name Source
PLAN.1 Acquisition of business process
context
[1] 3.4.2.2
PLAN.2 Assessment of Preservation
Approaches
[1] 3.4.2.3
3.3.1.3 Process Group Preserve
Process Identification Process Name Source
PRES.1 Preserve [1] 3.4.3
3.3.1.4 Process Group Redeploy
Process Identification Process Name Source
DEPL.1 Redeployment [1] 3.4.4
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3.3.1.5 Process Monitoring
Process Identification Process Name Source
MON.1 Monitoring of business process
context in source environment
[1] 3.4.5.1
MON.2 Monitoring of preserved business
process
[1] 3.4.5.2
3.3.2 Process Dimension
The Process Dimension of this PAM is defined in Section 4.
3.3.3 Capability Dimension
As stated in section 3.3 this assessment considers only the capability level zero to two. The meaning of
these levels is described by ISO 15504 as follows:
Level 0: Incomplete process
The process is not implemented, or fails to achieve its process purpose. At this level, there is little
or no evidence of any systematic achievement of the process purpose.
Level 1: Performed process
The implemented process achieves its process purpose.
Level 2: Managed process
The previously described Performed process is now implemented in a managed fashion (planned,
monitored and adjusted) and its work products are appropriately established, controlled and
maintained.
3.3.3.1 Capability Measurement
Within the PAM, the measure of capability is based upon three of the nine process attributes defined in
ISO/IEC 15504-2, since only three attributes are applicable to capability levels 0-2. Process attributes are
used to determine whether a process has reached a given capability. Each attribute measures a particular
aspect of the process capability.
The list of process attributes is shown in the following table:
Process Attribute ID Capability Levels and Process
Attributes
Level 0: Incomplete process
Level 1: Performed process
PA 1.1 Process performance
Level 2: Managed process
PA 2.1 Performance management
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PA 2.2 Work product management
The process attributes are evaluated on a four point ordinal scale of achievement, as defined in ISO/IEC
15504-2. They provide insight into the specific aspects of process capability required to support process
improvement and capability determination.
In order to achieve Capability Level 1 the TIMBUS process needs to be implemented at least largely or fully.
A partial or no implementation of the TIMBUS process would lead to achieving only Capability Level 0. The
level of achievement for the overall process is determined by calculating the average achievement scores of
all its subprocesses.
3.3.4 Assessment Indicators
With regard to the meaning and usage of assessment indicators this process assessment model is directly
based upon the explanations in ISO 15504[3]. For this reason the following sections are giving only a short
overview regarding the respective topics. For a more detailed explanation of the concepts described here
please confer ISO 15504 [3].
The PAM is based on the idea to break down the whole process into capability indicators. These indicators
should be defined in a manner not only enabling to decide whether or not a process fulfilled its purpose,
but also to which extent and quality. They can therefor help to derive constructive conclusions on how to
improve the process and its implementation.
There are two types of assessment indicators: process capability indicators and process performance
indicators.
While the process performance indicators deal with the basic execution of the process and therefore
address mainly whether and to which extent it was performed successfully, the process capability
indicators address the maturity of the process implementation.
The process capability indicators are:
Generic Practice (GP);
Generic Resource (GR);
Generic Work Product (GWP).
Process capability indicators are taken into account for capability level 2 and higher.
The process performance indicators are:
Base Practice (BP);
Work Product (WP).
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Process performance indicators are used to decide whether a process reaches at least capability level 1.
“The process performance and process capability indicators defined in the Process Assessment Model
represent types of objective evidence that might be found in an instantiation of a process and therefore
could be used to judge achievement of capability.” [3]
3.4 Process Performance Indicators
This clause defines the processes and the process performance indicators, also known as the process
dimension, of the Process Assessment Model. The processes in the process dimension can be directly
mapped to the processes defined in the PRM.
The processes are classified (for the purpose of this PAM) into Process Categories and Process Groups
which are listed in section 3.3.1.
The individual processes are described in terms of Process Name, Process Purpose, and Process Outcomes.
In addition the process dimension of the PAM provides information about the Base Practices, including a
definition of tasks and activities needed to accomplish the processes purpose. Each Base Practice is
explicitly associated to a process outcome.
Where applicable sub processes are described in an equal manner and marked as sub process.
The Work Products table describes work products flowing into and out of Base Practices as part of process
execution. This table lists work products flowing into a Base Practice in the “Inputs” column and lists work
products flowing out of Outcomes in the “Outputs” column. Impacted Base Practices and Outcomes are
listed for each work product.
NB: Any given work product may serve as the input to multiple Base Practices and may be the output of
several Process Outcomes. In order not to unnecessarily increase the size and the complexity of the Work
Products table, in these cases, work products are listed only once as input or output and all impacted Base
Practices or Process Outcomes are listed in one line. If a WP is modified by a Base Practice (e.g. enhanced
by additional information) it is placed in a single line as input and output.
3.4.1 Process Group Risk Management
3.4.1.1 RISK.1 Risk Management
Process ID RISK.1
Process Name Risk Management
Process Purpose The purpose of the Risk Management process is to identify, analyse, evaluate and
treat the risks associated with a business process, which can lead to a decision to
use digital preservation as a mitigation action. This process also decides on which
preservation strategy shall be executed.
Process Outcomes O.1 Context Model of the business process is established
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O.2 Risks for the business process are identified
O.3 Risks for the business process are analysed regarding likelihood and impact
O.4 Mitigation strategies are evaluated
O.5 Risks are treated according to chosen mitigation strategy
Base Practices BP.1 Establish Context [O.1]
BP.2 Identify Risks [O.2]
BP.3 Analyse Risk [O.3]
BP.4 Evaluate Risk [O.4]
BP.5 Treat Risk [O.5]
Work Products
Inputs Outputs
WP.05 Business Process Specification [BP.1]
WP.06 Source Environment [BP.1]
WP.02 Context model instance (CMI) [O.1]
WP.02 Context model instance (CMI) [BP.2]
WP.33 List of identified risks [O.2]
WP.33 List of identified risks [BP.3]
WP.34 Report about likelihood and impact of
identified risks [O.3]
WP.34 Report about likelihood and impact of
identified risks [BP.4]
WP.01 Risk Assessment Report [O.4]
WP.03 Process Preservation Plan (PPP) [O.4]
WP.03 Process Preservation Plan (PPP) [BP.5]
WP.18 Preserved business process [O.5]
3.4.2 Process Group Planning
3.4.2.1 PLAN.1 Acquisition of business process context
Process ID PLAN.1
Process Name Acquisition of business process context
Process Purpose The purpose of the Acquisition of business process context process is to establish
an initial Process Context Model that enables the Risk Management to develop
digital preservation approaches if necessary.
Process Outcomes O.1 Decision if business process is well specified and sufficient documented
O.2 Specification of business process, sufficient for preservation purposes
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O.3 Requirements of the stakeholders (concern) are known
O.4 Domain specific information of the context is gathered
O.5 Context model instance (CMI) is developed
O.6 CMI with views is developed
Base Practices BP.1 Check whether business process is sufficiently specified [O.1]
BP.2 Refine business process specification [O.2]
BP.3 Identify Stakeholders [O.3]
BP.4 Acquisition of domain specific context [O.4]
BP.5 Context Model & Dependencies Modelling [O.5]
BP.6 Create Views [O.6]
Work Products
Inputs Outputs
WP.05 Business Process Specification [BP.1, BP.2,
BP.3, BP.4]
WP.05 Business Process Specification [O.1, O.2]
WP.06 Source Environment [BP.2, BP.4]
WP.07 Requirements of the stakeholders (concern)
[O.3]
WP.08 Domain specific information of the context
[O.4]
WP.09 Domain specific models [BP.5]
WP.02 Context model instance (CMI) [O.5]
WP.02 Context model instance (CMI) [BP.6] WP.10 CMI with views [O.6]
3.4.2.2 PLAN.2 Assessment of Preservation Approaches
Process ID PLAN.2
Process Name Assessment of Preservation Approaches
Process Purpose The purpose of the Assessment of Preservation Approaches process is to specify
requirements for the preservation process followed by identification and
evaluation of preservation approaches in order to choose the one best fitting the
requirements. As a last step a preservation Action Plan is built, based on the
chosen approach.
Process Outcomes O.1 Context model instance (CMI) is refined and extended to reflect the needs
of this process
O.2 Preservation requirements are identified and documented
O.3 Process context is abstracted where applicable
O.4 Possible preservation approaches are identified, evaluated and
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documented in preservation plans
O.5 Process Preservation Action Plans (PPP) are built and delivered to risk
management as decision paper.
Base Practices BP.1 Acquisition business process context for Digital Preservation
(subprocess) [O.1]
BP.2 Document preservation requirements [O.2]
BP.3 Abstraction of process context (subprocess) [O.3]
BP.4 Develop Preservation Plan (subprocess) [O.4]
BP.5 Build Preservation Action Plan [O.5]
Work Products
Inputs Outputs
WP.01 Risk Assessment Report [BP.1]
WP.02 Context model instance (CMI) [BP.1, BP.2,
BP.3, BP.4]
WP.02 Context model instance (CMI) [O.1, O.3]
WP.06 Source Environment [BP.1]
WP.11 Preservation Requirements [O.2]
WP.11 Preservation Requirements [BP.3, BP.4]
WP.12 Evaluated preservation plan [O.4]
WP.12 Evaluated preservation plan [BP.5]
WP.13 Evaluated Process Preservation Action Plan
(PPP) [O.5]
3.4.2.2.1 PLAN.2.1 Acquisition of business process context for digital preservation (subprocess)
Process ID PLAN.2.1
Process Name Acquisition of business process context for digital preservation
Process Purpose The purpose of the Acquisition of business process context for digital preservation
process is to finalize the Context Model, enabling development of plan and
execution of the digital preservation.
Process Outcomes O.1 Requirements of the stakeholders (concern) are known
O.2 Domain specific models of the context are gathered
O.3 Context model instance (CMI) is finalized
O.4 CMI with views reflecting the needs of the stakeholders is developed
Base Practices BP.1 Identify Stakeholders [O.1]
BP.2 Acquisition context and dependencies
BP.3 Context Model & Dependencies Modelling [O.3]
BP.4 Create Views [O.4]
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Work Products
Inputs Outputs
WP.02 Context model instance (CMI) [BP.1, BP.2
BP.4] (version from previous process)
WP.02 Context model instance (CMI) [O.3]
(updated / finalized version)
WP.06 Source Environment [BP.2]
WP.07 Requirements of the stakeholders (concern)
[O.1]
WP.08 Domain specific information of the context
[O.2]
WP.09 Domain specific models [O.2]
WP.08 Domain specific information of the context
[BP.3]
WP.07 Requirements of the stakeholders (concern)
[BP.4]
WP.10 CMI with views [O.4]
3.4.2.2.2 PLAN.2.2 Abstraction of business process context (subprocess)
Process ID PLAN.2.2
Process Name Abstraction of business process context
Process Purpose The purpose of the Abstraction of business process context process is to remove
unnecessary implementation details from the CMI while preserving all necessary
information for preservation and re-deployment.
Process Outcomes O.1 Abstraction possibilities are identified
O.2 Possible abstractions are implemented
O.3 Abstraction implementation is verified
O.4 Decision about successful abstraction that fulfils all requirements is made
Base Practices BP.1 Analyse context model instance [O.1]
BP.2 Perform abstraction [O.2]
BP.3 Verify abstraction [O.3]
BP.4 Decision [O.4]
Work Products
Inputs Outputs
WP.11 Preservation Requirements [BP.1, BP.3]
WP.02 Context model instance (CMI) [BP.1, BP.2,
BP.3]
(For BP.3: both original version and version with
WP.02 Context model instance (CMI) (with
abstracted concepts) [O.2]
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abstracted concepts)
WP.35 Suggestions for Abstractions [BP.2]
WP.36 Results of verify abstraction [BP.4]
WP.35 Suggestions for Abstractions [O.1]
WP.36 Results of verify abstraction [O.3]
WP.37 Decision [O.4]
3.4.2.2.3 PLAN.2.3 Develop Preservation Plan (sub process)
Process ID PLAN.2.3
Process Name Develop Preservation Plan
Process Purpose The purpose of the Develop Preservation Plan process is to develop a valid
preservation plan.
Process Outcomes O.1 Components for preservation are selected
O.2 Preservation approaches are defined, including procedure to acquire data,
strategies to maintain significant properties over times etc.
O.3 The defined preservation plan is evaluated against the preservation
requirements
O.4 Results of the evaluation of the different approaches are compared and
the collected data from the evaluation step is prepared for decision
making
O.5 Decision whether Plan is fulfilling preservation requirements or a
refinement is needed is made based on the results of O.4
Base Practices BP.1 Select components [O.1]
BP.2 Define Preservation plan [O.2]
BP.3 Evaluate plan [O.3]
BP.4 Analyze results [O.4]
BP.5 Decision: Plan fulfils the requirements? [O.5]
Work Products
Inputs Outputs
WP.11 Preservation Requirements [BP.1, BP.2]
WP.02 Context model instance (CMI) [BP.1, BP.2,
BP.3]
(from BP.2 on including the changes from O.1)
WP.02 Context model instance (CMI) (with
selected components) [O.1]
WP.01 Risk Assessment Report [BP.2]
WP.38 Preservation Knowledge Base [BP.2]
WP.03 Process Preservation Plan (PPP) [BP.3]
WP.06 Source Environment [BP.3]
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WP.39 Results of evaluation of the preservation
approaches against the preservation requirements
[BP.4]
WP.12 Evaluated preservation plan [BP.5]
WP.03 Process Preservation Plan (PPP) [O.2]
WP.39 Results of evaluation of the preservation
approaches against the preservation requirements
[O.3]
WP.12 Evaluated preservation plan [O.4]
WP.37 Decision [O.5]
3.4.3 Process Group Preserve
3.4.3.1 PRES.1 Preserve
Process ID PRES.1
Process Name Preserve
Process Purpose The purpose of the Preserve process is to execute the actual preservation of the
business process, including operational planning and quality assurance.
Process Outcomes O.1 Preservation is planned from an operational perspective
O.2 The data regarding the business process is gathered
O.3 The verification data regarding the business process is gathered
O.4 Preservation action defined in the Preservation Action Plan (PPP) are
performed
O.5 Quality Assurance measures are performed on the preserved process
O.6 Decision if preservation was successful is made
O.7 Preserved Process is stored in archive
O.8 Monitoring events for re-evaluation of the preserved business process are
defined
Base Practices BP.1 Operational planning of preservation execution [O.1]
BP.2 Acquisition of process data [O.2]
BP.3 Acquisition of validation and verification data [O.3]
BP.4 Perform preservation action [O.4]
BP.5 Perform quality assurance [O.5, O.6]
BP.6 Archival storage [O.7]
BP.7 Define monitor events [O.8]
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Work Products
Inputs Outputs
WP.13 Evaluated Process Preservation Action Plan
(PPP) [BP.1, BP.2, BP.3, BP.4, BP.7]
WP.14 Selected preservation strategy [BP.1]
WP.15 Execution plan for preservation of the
business process [O.1]
WP.06 Source Environment [BP.2, BP.3]
WP.16 Captured data [O.2]
WP.17 Validation and Verification data for the
preserved business process [O.3]
WP.16 Captured data [BP.4]
WP.18 Preserved business process [O.4]
WP.19 Results of QA [O.5, O.6]
WP.18 Preserved business process [BP.5, BP.6]
WP.20 AIP (Archival information packages) [O.7]
WP.02 Context model instance (CMI) [BP.7]
WP.21 Monitor Events [O.8]
3.4.4 Process Group Redeploy
3.4.4.1 DEPL.1 Redeployment
Process ID DEPL.1
Process Name Redeployment
Process Purpose The purpose of the Redeployment process is to deploy an archived business
process into a new environment. This includes preparing the target environment
as well as verifying the redeployment against the previously collected verification
data.
Process Outcomes O.1 Description of the preserved Process is retrieved from archive
O.2 A model of the redeployment environment is developed
O.3 Gaps between the needed redeployment environment and the actual are
identified
O.4 Alternatives to close identified gaps are evaluated
O.5 Data associated with the preserved process is extracted from the archive
O.6 Preserved Process is deployed into the target environment
O.7 Preserved process is re-executed to test the redeployment
O.8 Results of the re-execution are verified against verification data stored
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with the process
O.9 Decision to proceed or repeat assessment of re-deployment alternatives is
made
Base Practices BP.1 Retrieve business process from archive [O.1]
BP.2 Capture redeployment environment [O.2]
BP.3 Gap analysis [O.3]
BP.4 Assessment of redeployment alternatives [O.4]
BP.5 Retrieve data from archive [O.5]
BP.6 Setup environment [O.6]
BP.7 Perform re-execution [O.7]
BP.8 Verify results [O.8, O.9]
Work Products
Inputs Outputs
WP.22 Archive[BP.1]
WP.23 Business process description [O.1]
WP.24 (empty) Redeployment environment [BP.2] WP.24 Redeployment environment [O.6] (with
preserved process deployed but not executed)
WP.25 CMI of the redeployment environment [O.2]
WP.23 Business process description [BP.3]
WP.25 CMI of the redeployment environment
[BP.3]
WP.26 Gap report [O.3]
WP.26 Gap report [BP.4]
WP.27 Redeployment plan [O.4]
WP.27 Redeployment plan [BP.5, BP.6, BP.7]
WP.28 Retrieved business process data [O.5]
WP.29 Instantiated environment [BP.7]
WP.30 Redeployed business process [O.7]
WP.31 Monitoring measurements [O.7]
WP.31 Monitoring measurements [BP.8]
WP.32 Validation result [O.8, O.9]
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3.4.5 Process Group Monitoring
3.4.5.1 MON.1 Monitoring of business process context in source environment
Process ID MON.1
Process Name Monitoring of business process context in source environment
Process Purpose The purpose of the Monitoring of business process context in source environment
process is to recognize changes in a preserved process' context.
Process Outcomes O.1 Business process description is retrieved from archive
O.2 Current business process context is gathered
O.3 Gaps between archived and current context are identified
O.4 Process Assessment of preservation approaches is triggered in case of
Gaps
Base Practices BP.1 Retrieve business process from archive [O.1]
BP.2 Acquisition business process context [O.2]
BP.3 Gap analysis [O.3, O.4]
Work Products
Inputs Outputs
WP.22 Archive [BP.1]WP.05
WP.23 Business process description [O.1]
WP.06 Source Environment [BP.2]
WP.02 Context model instance (CMI) [O.2]
WP.23 Business process description [BP.3]
WP.02 Context model instance (CMI) [BP.3]
WP.26 Gap report [O.3]
3.4.5.2 MON.2 Monitoring of preserved business process
Process ID MON.2
Process Name Monitoring of preserved business process
Process Purpose The purpose of the Monitoring of business process is to actively monitor
dependencies and requirements of a preserved process in order to ensure the
capability to redeploy it.
Process Outcomes O.1 Business process description is retrieved from archive
O.2 Current redeployment environment is captured
O.3 Gaps between archived and current context are identified
O.4 Process Assessment of preservation approaches is triggered in case of
Gaps
O.5 Redeployment is planned
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O.6 Data associated with the preserved process is extracted from the archive
O.7 Preserved Process is deployed into the target environment
O.8 Preserved process is re-executed and monitored in test the redeployment
O.9 Results of the re-execution are verified against verification data stored
with the process
O.10 Decision to proceed or repeat assessment of re-deployment alternatives is
made
Base Practices BP.1 Retrieve business process from archive [O.1]
BP.2 Capture redeployment environment [O.2]
BP.3 Gap analysis [O.3, O.4]
BP.4 Plan redeployment [O.5]
BP.5 Retrieve required data from archive [O.6]
BP.6 Setup test environment [O.7]
BP.7 Perform test re-execution [O.8]
BP.8 Verify results [O.9, O.10]
Work Products
Inputs Outputs
WP.22 Archive [BP.1]
WP.23 Business process description [O.1]
WP.24 Redeployment environment [BP.2]
WP.25 CMI of the redeployment environment [O.2]
WP.23 Business process description [BP.3, BP.6]
WP.25 CMI of the redeployment environment
[BP.3]
WP.26 Gap report [O.3, O.4]
WP.26 Gap report [BP.4]
WP.27 Redeployment plan [O.5]
WP.27 Redeployment plan [BP.5, BP.6]
WP.28 Retrieved business process data [O.6]
WP.28 Retrieved business process data [BP.6]
WP.29 Instantiated environment [O.7]
WP.29 Instantiated environment [BP.7]
WP.30 Redeployed business process [O.8]
WP.31 Monitoring measurements [O.8]
WP.31 Monitoring measurements (of original and
retrieved business process) [BP.8]
WP.32 Validation result [O.9, O.10]
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3.5 Process Capability Indicators
This section presents the process capability indicators related to the process attributes associated with the
capability levels 1 and 2. A detailed explanation of the attributes as well as their generic practices, generic
resources and generic work products can be found in ISO 15504 [3].
Indicators for Level 0 are not described because Level 0 reflects a non-implemented process or a process
which fails to achieve its outcomes and therefore does not include any indicators.
3.5.1 Level 1: Performed process
The following attributes of the process demonstrate achievement of Level 1 as defined in [3]:
PA 1.1 Process Performance Attribute
This attribute reflects whether or not the assessed process achieves its defined outcomes.
Generic Practices for PA 1.1
Reflects whether Base Practices were performed as intended and associated Work Products
were produced as evidence of the process outcomes.
Generic Resources for PA 1.1
Resources are used to perform the intent of process specific base practices.
Generic Work Products for PA 1.1
Work products exist that provide evidence of the achievement of the process outcomes.
3.5.2 Level 2: Managed process
“The previously described Performed process is now implemented in a managed fashion (planned,
monitored and adjusted) and its work products are appropriately established, controlled and maintained.”
[3]
The following attributes of the process demonstrate the achievement of this level:
PA 2.1 Performance management attribute
“The performance management attribute is a measure of the extent to which the performance of
the process is managed.” [3]
Generic Practices for PA 2.1
GP 2.1.1 Identify the objectives for the performance of the process.
GP 2.1.2 Plan and monitor the performance of the process to fulfil the identified
objectives.
GP 2.1.3 Adjust the performance of the process.
GP 2.1.4 Define responsibilities and authorities for performing the process.
GP 2.1.5 Identify and make available resources to perform the process according to plan.
GP 2.1.6 Manage the interfaces between involved parties.
Generic Resources for PA 2.1
Human resources with identified objectives, responsibilities and authorities;
Facilities and infrastructure resources;
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Project planning, management and control tools, including time and cost reporting;
Generic Work Products for PA 2.1
08-00 Plan
13-00 Record
14-00 Register
15-00 Report
PA 2.2 Work product management attribute
“The work product management attribute is a measure of the extent to which the work products
produced by the process are appropriately managed.”[3]
Generic Practices for PA 2.2
GP 2.2.1 Define the requirements for the work products.
GP 2.2.2 Define the requirements for documentation and control of the work products.
GP 2.2.3 Identify, document and control the work products.
GP 2.2.4 Review and adjust work products to meet the defined requirements.
Generic Resources for PA 2.2
Requirement management method / toolset;
Configuration management system;
Documentation elaboration and support tool;
Document identification and control procedure;
Work product review methods and experiences;
Review management method / toolset;
Intranets, extranets and/or other communication mechanisms;
Problem and issue management mechanisms.
Generic Work Products for PA 2.2
08-00 Plan
13-00 Record
14-00 Register
16-00 Repository
18-00 Standard
20-00 Template
21-00 Work product
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4 Assessment Context
This section will specify the assessment context. In section 4.1 the organisation where the assessment will
take place is described. A description of the business case is provided in section 4.2 and the major
requirements for the preservation are shown in section 4.3.
4.1 Organisation
LNEC is an organisation that acts as a technical consultant to the Portuguese Government. Among other
responsibilities, it controls the safety of large civil engineering structures, especially large dams.
Deliverables D8.1 [2], D8.4 [4] and D8.7 [6] discuss in great detail LNEC, their business processes and the
need for digital preservation (DP) so that we will only give a brief overview over the relevant facts. LNEC
has identified three core business processes for which risks can only be mitigated by the implementation of
digital preservation.
The first relevant business process is concerned with the acquisition and processing of sensor data. Sensor
data may stem from a variety of sources, most of them related to the physical properties of civil
engineering structures such as dams or bridges. These sensors record physical properties such as the
movement along a specific axis as a datum or a set of data. This raw data usually requires some form of
processing and storage to make it accessible to further analysis. These activities form part of the sensor
data business process. For this business process the main objectives behind applying DP is to enhance trust
in the correct execution of the business process, in the re-execution to correct for calibration or
computation errors that are identified at a later point in time and for business continuity reasons; dams will
outlive IT-system architectures by decades or centuries.
The second process covers the simulation of structures and their behaviour. These computing-intensive
models and simulations are developed in-house at LNEC and are executed on LNEC’s parallel-computing
cluster infrastructure. Here the main objective to be achieved with digital preservation is to be capable of
preserving the technical environment to solve specific simulations or equations.
The third process is concerned with the preservation of CAD/CAM (Computer Aided Design/Computer
Aided Manufacturing) drawings. These drawings may either be created manually for which a process of
creation, approval and maintenance exists or they may be used to visualize data – in this case the drawings
are computer-generated. In this context, LNEC develops work in the monitoring of the structural behaviour
of concrete dams, not only new dams under construction but all the others under operation, observing
their aging and the possible need of intervention, based on data provided by a set of sensors installed in
the structures. Analysing the structural stability and safety of a concrete dam involves the monitoring of a
set of phenomena, each with their scales, such as temperatures (scalars), displacements (vectors), stresses
(tensors), etc. It is important to perform a careful analysis of these measures and a cautious manipulation
of data, when applied to the CAD design for a correct graphical representation of the phenomena under
consideration.
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Therefore, there are a number of scenarios in which the development and use of technical CAD designs are
essential for the analysis of structural safety of a concrete dam, and for the potential constructive solution
to implement in a structural intervention and repair.
4.2 Business Case
Figure 2 shows an overview of the considered CAD business processes (in yellow) and the underlying
software stack that supports them. These processes have to be preserved. In detail there are four business
processes chosen to perform the preservation process. BP-1 Traditional CAD Usage supports the scenario of
Technical CAD designs – Traditional usage; BP-2 Automatic CAD generation supports the scenario of
Technical CAD designs using specific business processes and data obtained from the information system;
BP-3 Automatic CAD generation using a template supports the scenario of Technical CAD designs using
specific business processes, data obtained from information system and CAD template designs; and BP-4
Dam’s Structural Simulation supports the scenario of Technical CAD designs of finite element meshes for
structural calculation. A detailed description of those business cases can be found in D8.4 chapter 7.
Figure 2: Processes and enterprise architecture overview
In this context, the main component of the technology layer (in Figure 2, technology layer is in green) is the
GestBarragens database, which stores all the important data to be used in BP-2 and BP-3 (namely,
automatic CAD generation with and without template). The important data collected from the dam’s
sensors is provided to both processes, while, exclusively for generation with template, the GestBarragens
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DB also stores and provides the needed CAD templates (with graphical representations of the dam, where
the desired sensor information can be printed) as well as the drawing coordinates necessary to print
information in such templates. The necessary information to draw a dam’s FEM (Finite Element Mesh) is
stored in various ASCII files, which are read in the process.
In the application layer (in Figure 2, application layer is in blue) there are many software components which
comprise the algorithms of the processes. The “gbDiagr” function is offered as part of the GestBarragens
front-end interface, and consists of a FORTRAN application which gathers the necessary sensor data and
stores it in a CAD file as requested by the user. Similarly, there is another application (written in VB.NET)
which gathers not only the sensor data, but also the dam’s CAD template and drawing coordinates, and
creates a new CAD file, based on the specified dam’s template, with all the requested sensor information.
For a Dam’s Structural Simulation process there are three main software components. First, the FEM
generation application (of which there are many variations coded in Visual Basic, FORTRAN and MatLab,
and also full-bred applications like GiD and ParaView), which takes the ASCII file with the dam’s mesh
information and draws the mesh in a new CAD file. Next, this CAD file is used by structural calculation
software which will perform the analysis and resolution of all the physical equations, defined by a
configured set of actions that could or already affect the dam’s structure, presenting a new CAD with the
results. Lastly, this CAD and its results can be visualized in data visualisation software like GiD or ParaView.
Finally, for the traditional usage of CAD files, there are the software applications that allow CAD creation
and manipulations, with one of the most prevalent being Autodesk’s AutoCAD.
4.3 Preservation Case
For the preservation Case there are four scenarios which have to be fulfilled:
Trust – re-execute the process with same data and parameters to ensure that the process produces
the same results as in previous executions. This scenario requires the redeployment and re-
execution of the process with all its original entities.
Correction – re-execute the process with the same data, but with changed parameters to correct
any anomaly (wrong data selection). The redeployment and re-execution of the process with its
original entities, where data and/or context is partially modified.
Reanalysis – re-execute the process with new or updated data. This is the case when using the
same CAD analysis with extended information.
Continuity – civil engineering structures like dams are expected to operate for a long-time (several
decades). The CAD processes must be preserved and secured in the future, ensuring that the
processes can be continuously executed.
All four described business processes are involved in these scenarios the mapping between them is shown
in deliverable D8.4 Table 3.
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To perform these scenarios there have to be reached a couple of goals. These goals have some relations or
dependencies between them. The relations are shown in Figure 2 (This figure is taken out of the document
D8.4 chapter 8.5)
Each goal has several sub goals. To achieve the overall goal all the sub goals have to be achieved. The figure
shows that goal two requires goal one. What is not shown is that goal three also is in a close relationship
with the other two goals. Goal three is the result of an ongoing process. This process is needed to make
goal one (and two) reachable. It is necessary to keep the amount of tools and data types as small as
possible to be able to perform the TIMBUS process. The TIMBUS process is used to achieve goal one and
two. In D8.4 goal three is defined as one goal of the preservation but in fact is a way to make the
preservation easier or possible.
Figure 1: Goals for the preservation case
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5 Assessment Results
5.1 Execution
This assessment was conducted as a two-day on-site assessment at LNEC premises in Lisbon, Portugal in
October 2014 and as a subsequent evaluation and documentation of assessment results from the acquired
raw data.
As part of the assessment methodology, a two-person team of assessors interviewed the roles responsible
for the execution of the TIMBUS processes. The interviews consisted of a set of goal oriented questions and
demonstrations of evidence of process execution.
5.2 Results Overview
This section gives an overview about the high level results of the assessment of the application of the
TIMBUS process to the LNEC use case. A tabular overview is shown in Table 3.
The process attribute ratings reflect the extent to which the goals of a process attribute were achieved. The
following ratings are being used:
N/A = Not applicable
o The rated of a process attribute is not applicable for the assessed use case and
therefore remains unrated.
N = No
o The goals of the rated of a process attribute were not achieved at all or the process
attribute was not executed.
P = Partially
o Less than 50% of the goals of a process attribute were achieved.
L = Largely
o More than 50% but not all goals of a process attribute were achieved.
F = Fully
o All goals of a process attribute were achieved.
As the Process Performance Attribute (1.1) clearly shows, none of the process steps achieved its goals in
full. However, seven out of ten evaluated processes achieved a rating of “largely implemented”. As no
process was performed fully, the Performance management attribute (2.1) and the Work product
management attribute (2.2) could not be evaluated, resulting in an N rating.
In an overall view the TIMBUS process was applied to LNEC in fairly complete manner. All relevant
processes save for the monitoring process were largely implemented, some to an almost full degree. The
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overall maturity of process application can therefore be considered to be on level 1. This offers a solid basis
on which to derive learnings on the applicability of the TIMBUS process to the needs of the LNEC use case.
Table 3: Overview of assessment results for LNEC
Process Attribute
Process ID Process Name 1.1 2.1 2.2 Maturity Level
PLAN.1 Acquisition of business process context L N N 1
PLAN.2 Assessment of Preservation
Approaches
L N N 1
PLAN.2.1 Acquisition of business process context
for digital preservation (sub process)
L N N 1
PLAN.2.2 Abstraction of business process context
(sub process)
L N N 1
PLAN.2.3 Develop Preservation Plan (sub
process)
N N N 0
PRES.1 Preserve L N N 1
DEPL.1 Redeployment L N N 1
RISK.1 Risk Management L N N 1
MON.1 Monitoring of business process context
in source environment
N N N 0
MON.2 Monitoring of preserved business
process
N N N 0
The following sections provide the details on the ratings of the individual processes as well as rationale and
references to evidence.
5.3 Result Details
5.3.1 PLAN.1
For the purpose of the TIMBUS process, the planning phase of the process is subdivided into to processes –
PLAN.1 and PLAN.2.
Table 4 illustrates the detailed results for the PLAN.1 process. The outcomes and base practices defined in
the TIMBUS process have been found to have been fully implemented except for the gathering if domain
specific context information and for the developing of the context model instance, both of which have been
implemented largely.
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Specifically, in order to tackle the gathering and development of LNEC’s context model, the domain
independent ontology (DIO) and domain specific ontologies (DSOs) were modeled using the TIMBUS tools
and generated by the TIMBUS extractors. Exact copies of production machines were used as data sources
for the extractors.
In order to use the individual ontologies as part of a joint context model, a tool has been developed to
integrate the ontologies as part of the work on the use case. The resulting model was manually validated
against the real world implementation for three specific components of the CAD/CAM business process to
ensure validity of intermediate results.
Table 4: Detailed results for PLAN.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F
O.1 Decision if business process is well specified and sufficient documented
x
O.2 Specification of business process, sufficient for preservation purposes
x
O.3 Requirements of the stakeholders (concern) are known x
O.4 Domain specific information of the context is gathered x
O.5 Context model instance (CMI) is developed x
O.6 CMI with views is developed x
Base Practices
BP.1 Check whether business process is sufficiently specified x
BP.2 Refine business process specification x
BP.3 Identify Stakeholders x
BP.4 Acquisition of domain specific context x
BP.5 Context Model & Dependencies Modelling x
BP.6 Create Views x
Presented evidence showed the creation of the DIOs, the conversion of DIOs using TIMBUS tools, the use of
extractors to create DSOs and the integration into a joint ontology.
The use case interviewees did not recall any issues with applying this part of the TIMBUS process. However,
they noted that at the outset business processes were not formalized and documented but were rather
implicit and, thus, required effort to make explicit and available to the methods of TIMBUS.
5.3.2 PLAN.2
For the PLAN.2 process evaluation results are more heterogeneous. While overall the process is performed
largely, outcomes O.4 and O.5 are not currently performed and outcomes O.1 and O.3 are performed
largely (cf. Table 5).
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Table 5: Detailed results for PLAN.2
1 Performed N P L F
1.1 Process performance attribute X
Outcomes N P L F N/A
O.1 Context model instance (CMI) is refined and extended to reflect the needs of this process
x
O.2 Preservation requirements are identified and documented x
O.3 Process context is abstracted where applicable x
O.4 Possible preservation approaches are identified, evaluated and documented in preservation plans
x
O.5 Process Preservation Action Plans (PPP) are built and delivered to risk manage-ment as decision paper.
x
Base Practices
BP.1 Acquisition business process context for Digital Preservation (subprocess) x
BP.2 Document preservation requirements x
BP.3 Abstraction of process context (subprocess) x
BP.4 Develop Preservation Plan (subprocess)
x
BP.5 Build Preservation Action Plan
x
This process is subdivided further into subprocesses PLAN.2.1, PLAN.2.2 and PLAN.2.3 which are discussed
in the following sections. Multiple activities within this process and its subprocesses are tool-supported by
the DPES tool.
With this process, several potentials for improvement were identified as part of its application to LNEC.
Firstly, the mapping of activities to roles is not yet ideal; it needs to be executed by the preservation expert,
while the requirements need to come from stakeholders.
Secondly, the whole preservation plan as foreseen in PLAN.2.3 is not directly visible to involved roles at it is
encapsulated in the DPES tool, meaning that intermediate outcomes are not explicitly available as foreseen
in the process.
5.3.3 PLAN.2.1
PLAN2.1 concerns the refining, extending and finalizing of a context model instance for the relevant
business processes. For this subprocess an overall rating of largely is derived from the detailed ratings of
the outcomes and base practices (cf. Table 6).
Table 6: Detailed results for PLAN.2.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Requirements of the stakeholders (concern) are known x
O.2 Domain specific models of the context are gathered x
O.3 Context model instance (CMI) is finalized x
O.4 CMI with views reflecting the needs of the stakeholders is developed x
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Base Practices
BP.1 Identify Stakeholders x
BP.2 Acquisition context and dependencies x
BP.3 Context Model & Dependencies Modelling x
BP.4 Create Views x
All outcomes and base practices of this subprocess have been implemented fully except for the gathering of
domain specific models, which has been implemented largely. This is due to the fact that while software
dependencies were acquired using the TIMBUS extractor tools, hardware dependencies were restricted to
the features of the virtual machines that were used to host copies of the live systems.
Preservation requirements are defined and documented. The requirements posed by the LNEC organisation
towards the preservation were brief and concise, focusing on the requirement for business processes to
work as before after preservation and redeployment. No requirements were posed towards the frequency
or details of the redeployment.
5.3.4 PLAN.2.2
PLAN.2.2 covers the abstraction of the context for the purposes of the preservation. This process has been
rated as “largely implemented” (cf. Table 7).
Table 7: Detailed results for PLAN.2.2
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Abstraction possibilities are identified x
O.2 Possible abstractions are implemented x
O.3 Abstraction implementation is verified x
O.4 Decision about successful abstraction that fulfills all requirements is made x
Base Practices
BP.1 Analyze context model instance x
BP.2 Perform abstraction x
BP.3 Verify abstraction x
BP.4 Decision x
The abstraction of the context model is performed, albeit only manually, using the full ontology as a
starting point and ending up with an abstracted view that is used for the purposes of the risk management.
The same DIO was used for all three business processes covered as part of this use case.
Outcome O.4 is implemented only partially due to the fact that the feedback loop to risk management was
not executed as specified in the process. In theory decisions should be made based on a report by the risk
management tool but this was not used in the context of the use case.
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5.3.5 PLAN.2.3
PLAN2.3 is concerned with the definition of the preservation plan, its evaluation against requirements and
the selection of the most appropriate preservation approach. It has been rated as “not implemented” (cf.
Table 8).
Table 8: Detailed results for PLAN.2.3
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Components for preservation are selected x
O.2 Preservation approaches are defined, including procedure to acquire data, strate-gies to maintain significant properties over times etc.
x
O.3 The defined preservation plan is evaluated against the preservation requirements x
O.4 Results of the evaluation of the different approaches are compared and the collect-ed data from the evaluation step is prepared for decision making
x
O.5 Decision whether Plan is fulfilling preservation requirements or a refinement is needed is made based on the results of O.4
x
Base Practices
BP.1 Select components
x
BP.2 Define Preservation plan
x
BP.3 Evaluate plan
x
BP.4 Analyze results
x
BP.5 Decision: Plan fulfils the requirements?
x
At LNEC this process is implemented by using the DPES tool. This results in the main base practices being
fully automated and not accessible to the involved roles (resulting in an N/A rating) and the defined
outcomes not being available as all information is kept in DPES and no intermediary outcomes were
available for this use case. This results in these parts of the process execution being invisible and impossible
to control to the involved process users.
Subsequently, the fitness for purpose of this process cannot be evaluated due to lack of experience in
applying it as part of this use case.
5.3.6 PRES.1
This process is concerned with the actual preservation of business processes, IT systems, software and data
according to the preservation plan defined in PLAN.2.3. For this process the overall rating is “largely
implemented” (cf. Table 9).
Table 9: Detailed results for PRES.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Preservation is planned from an operational perspective x
O.2 The data regarding the business process is gathered x
O.3 The verification data regarding the business process is gathered x
O.4 Preservation action defined in the Preservation Action Plan (PAP) are performed
x
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O.5 Quality Assurance measures are performed on the preserved process x
O.6 Decision if preservation was successful is made x
O.7 Preserved Process is stored in archive x
O.8 Monitoring events for reevaluation of the preserved business process are defined x
Base Practices
BP.1 Operational planning of preservation execution
x
BP.2 Acquisition of process data x
BP.3 Acquisition of validation and verification data x
BP.4 Perform preservation action x
BP.5 Perform quality assurance x
BP.6 Archival storage x
BP.7 Define monitor events x
The operational planning of preservation was undertaken aided by the DPES tool, as was the gathering of
business process data. For acquiring the verification and validation data, the VPlan methodology developed
as part of TIMUBS was applied, defining nine significant properties. The associated metrics of the nine
significant properties were evaluated manually. The quality assurance on the preserved process as
prescribed by BP.5 and O.5 were, thus, performed manually and only for specific process steps as “quality
probes”.
Outcome O.4 is rated as “not performed” as the PAP is not accessible to the involved roles. Preservation
actions are available through the DPES tools, but there is no way to access the underlying PAP.
A basic redeployment plan is defined on a high-level. The redeployment environment is created manually.
Monitoring events as required in O.8 and BP.7 are not defined resulting in a rating of “not performed” for
this base practice and outcome. Any changes to the business process or to the context are available
through the DPES and risk management tools but are not currently tied into a set of monitoring events. The
interviewees noted a specific type of dependency which many require stronger consideration: The
dependency on knowledge of specific process executors which is only implicit and has never been
documented. This knowledge is not accessible to DP methods unless it is identified and made explicit first.
Evidence on the implementation of this process is captured in deliverables D4.7 and D6.6. A demonstration
of the use of DPES to preserve LNEC business processes was not undertaken as part of this assessment.
With this process potentials for improvement were identified in the areas of process and tool integration
and monitoring: Firstly, the DPES tool currently does not make all outcomes available that are specified in
the TIMBUS process, posing a challenge to correctly implementing the process in full. Additionally, the
monitoring should be revisited to ensure that the required tool support and integration with the process is
available to successfully implement it.
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5.3.7 DEPL.1
This process is concerned with the redeployment of preserved business processes, IT systems, software and
data from the preservation archive. For this process the overall rating is “largely implemented” (cf. Table
10).
Table 10: Detailed results for DEPL.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Description of the preserved Process is retrieved from archive x
O.2 A model of the redeployment environment is developed
x
O.3 Gaps between the needed redeployment environment and the actual are identi-fied
x
O.4 Alternatives to close identified gaps are evaluated x
O.5 Data associated with the preserved process is extracted from the archive x
O.6 Preserved Process is deployed into the target environment x
O.7 Preserved process is re-executed to test the redeployment x
O.8 Results of the re-execution are verified against verification data stored with the process
x
O.9 Decision to proceed or repeat assessment of re-deployment alternatives is made x
Base Practices
BP.1 Retrieve business process from archive x
BP.2 Capture redeployment environment x
BP.3 Gap analysis x
BP.4 Assessment of redeployment alternatives x
BP.5 Retrieve data from archive x
BP.6 Setup environment x
BP.7 Perform re-execution x
BP.8 Verify results x
In the LNEC use case this process has been implemented and almost fully automated by the DPES tool. The
only truly manual intervention consists of the re-execution of the business process (O.7/BP.7) and the
verification of redeployed process by way of the VPlan methodology (O.8, BP.8).
Two outcomes and base practices (O.3, O.4; BP.3, BP.4) that are foreseen by the TIMBUS process to be
conducted as part of the execution of DEPL.1 were not conducted as part of the use case. Therefore, their
rating has been set as “not implemented”. Outcome O.2 is rated as “N/A” as this outcome is not made
available by the DPES tool and, thus, is not available to process users.
The redeployment into the target/redeployment environment is done using the DPES tool and works by
redeploying onto suitable virtual machines that are provisioned using a configurable server virtualization
management service such as proxmox.
Evidence on the implementation of this process is captured in deliverable D8.6 [5]. A demonstration of the
use of DPES to redeploy LNEC business processes was not undertaken as part of this assessment.
Based on this implementation in the use case, a number of improvement potentials have been identified.
Firstly, the abstracting of process execution details into the DPES tool reduces the visible complexity but
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prevents the explicit execution of all underlying base practices by the process user. Secondly, the
redeployment focuses strongly on usage of virtual machines and does not yet provide additional options –
this is not related to the process but rather to its implementation in the DPES tool. Thirdly, the collection of
metadata did not cover the complete set of metadata relevant for the LNEC use case. In particular,
metadata about parallel execution in the LNEC parallel computing cluster could not be captured and used in
full.
5.3.8 RISK.1
This process is concerned with the overarching risk management activities spanning from very beginning of
preservation-related activities across the full lifecycle of preservation in an organisation. It also provides the
interfaces to corporate / enterprise risk management processes. For this process the overall rating is
“largely implemented” (cf. Table 11).
Table 11: Detailed results for RISK.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Context Model of the business process is established x
O.2 Risks for the business process are identified x
O.3 Risks for the business process are analyzed regarding likelihood and impact x
O.4 Mitigation strategies are evaluated x
O.5 Risks are treated according to chosen mitigation strategy x
Base Practices
BP.1 Establish Context x
BP.2 Identify Risks x
BP.3 Analyze Risk x
BP.4 Evaluate Risk x
BP.5 Treat Risk x
The implementation of the risk management process in the LNEC use case is strongly aligned with the
TIMBUS risk management process as well as with the ISO 31000 standard on risk management. The same
process has been followed for all three business processes that have been the subject of preservation
activities at LNEC.
In order to establish the context, a fully verbal description of the context was identified and analyzed. On a
business process level this first context model was analyzed for known threats. Subsequently, this data was
populated into the TIMBUS risk management tool. This is a manual process with some tool support.
Identification and subcategorisation of risks was achieved by using brainstorming workshops and interviews
with key stakeholders to understand and identify all relevant risks. Here, a clear focus was laid on DP-
related risks, i.e. risks which could not be mitigated by digital preservation were not considered.
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Due to this, the evaluation of mitigation strategies was only partially implemented as it resulted by default
in usage of digital preservation by nature of risk selection. Subsequently, the impact of using TIMBUS on
each risk was assessed and simple cost evaluations were put in place.
Evidence for the implementation of this process is found in LNEC’s instance of the TIMBUS risk
management tool.
For this process, a number of improvement potentials were identified. Firstly, the activities around
extracting context information is felt to still offer significant improvement potentials, both in the area of
tool/mining intelligence but also in the reduction of complexity and effort in order to improve the cost-
benefit-ratio of implementing these base practices.
5.3.9 MON.1
This process is concerned with the monitoring of business processes and their context (i.e. the source
environment) in order to identify changes that require preservation activities. For this process the overall
rating is “not implemented” (cf. Table 12).
Table 12: Detailed results for MON.1
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Business process description is retrieved from archive x
O.2 Current business process context is gathered x
O.3 Gaps between archived and current context are identified x
O.4 Process Assessment of preservation approaches is triggered in case of Gaps x
Base Practices
BP.1 Retrieve business process from archive x
BP.2 Acquisition business process context x
BP.3 Gap analysis x
No systematic monitoring of the source environment has been put in place for the LNEC use case, so that
none of the base practices and outcomes defined as part of the TIMBUS process can be witnessed. Ad-hoc
activities take place when gaps are identified.
Subsequently, no improvement potentials can be documented for the underlying outcomes and business
practices of MON.1. The process and its support by the TIMBUS tool chain should be reviewed to ensure
that it can be implemented with reasonable effort as part of an overall TIMBUS process implementation.
5.3.10 MON.2
This process is concerned with the monitoring of preserved processes in order to identify changes that
require preservation activities. For this process the overall rating is “not implemented” (cf. Table 13).
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Table 13: Detailed results for MON.2
1 Performed N P L F
1.1 Process performance attribute x
Outcomes N P L F N/A
O.1 Business process description is retrieved from archive x
O.2 Current redeployment environment is captured x
O.3 Gaps between archived and current context are identified x
O.4 Process Assessment of preservation approaches is triggered in case of Gaps x
O.5 Redeployment is planned x
O.6 Data associated with the preserved process is extracted from the archive x
O.7 Preserved Process is deployed into the target environment x
O.8 Preserved process is re-executed and monitored in test the redeployment x
O.9 Results of the re-execution are verified against verification data stored with the process
x
O.10 Decision to proceed or repeat assessment of re-deployment alternatives is made x
Base Practices
BP.1 Retrieve business process from archive x
BP.2 Capture redeployment environment x
BP.3 Gap analysis x
BP.4 Plan redeployment x
BP.5 Retrieve required data from archive x
BP.6 Setup test environment x
BP.7 Perform test re-execution x
BP.8 Verify results x
No systematic monitoring of the preserved process has been put in place for the LNEC use case, so that
none of the base practices and outcomes defined as part of the TIMBUS process can be witnessed. No tool
support is available to implement this.
Subsequently, no improvement potentials can be documented for the underlying outcomes and business
practices of MON.2. The process and its support by the TIMBUS tool chain should be reviewed to ensure
that it can be implemented with reasonable effort as part of an overall TIMBUS process implementation
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6 Conclusion
This section reviews the process’ application at LNEC and derives learnings on the applicability of the
TIMBUS process from the process assessment. It is the desired end product of this work package to be able
to understand on which levels the TIMBUS process worked well and where there is room for improvement.
6.1 Process Application
This assessment shows clearly that the TIMBUS process was systematically and thoroughly adopted by the
LNEC organisation to solve their business need for preservation of core business processes. Only a few
areas of the TIMBUS process were not implemented or were implemented only to a small degree.
Subsequently, this use case is well-suited to draw conclusions concerning the use and application of the
TIMBUS process, its methods and the associated tools in real-world scenarios. It also demonstrates how the
application of the TIMBUS process forces organizations to make core business knowledge explicit – a value
in itself in order to reduce risk and dependencies on singular experts and in order to transform to a higher
degree of organisational maturity.
6.2 Process Applicability
By and large it can be stated that the TIMBUS process has been implemented to a large extent by the LNEC
use case and that it has worked well in its context. This indicates, that the TIMBUS process has indeed
helped solve the business need of LNEC for preservation of not only data and documents, but of business
processes, it systems, supporting applications and information.
For each individual process, improvement potentials and future work has been identified that can further
streamline the process, can make it easier, less complex or less costly to implement and offers additional
potential.
Three processes, however, could not be implemented to a satisfying degree, primarily due to lack of
experience in applying them within this use case. PLAN.2.3, MON.1 and MON.2 were implemented to such
a small degree that their implementation was rated as “not implemented”. For these processes, a thorough
review could be conducted to identify, understand and generalize the underlying issues and to understand
whether changes to these processes, the methodology or the tool support can ease or improve the
implementation of these processes in general. However, we can conclude from the work carried out in WP6
that there is no evidence to suggest that it would not be possible and beneficial to implement them.
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7 Recommendations
The Assessment of the LNEC Use Case results in a couple of recommendable areas for future research.
There are three main areas on which future research seems recommendable:
the TIMBUS process itself
the methods and tools supporting the process
the need and legitimation for digital preservation in general.
For the area of tools it is recommended to increase automation and interoperability in order to address the
main issue of the TIMBUS process requiring too much effort to rectify its results. Especially improvement
regarding context model creation and integration would help to address some improvement potentials
mentioned in the assessment results.
The process itself should be improved in two ways:
1. In order to reduce the costs of Context Model creation a step to verify correctness, completeness
and suitability of the Context Model should be defined. This would improve the monitoring parts of
the process as well for which it is recommended to look into ways to reduce complexity and
necessary effort (e.g. by not having to create a Content Model on a regular basis).
2. In order to support and improve acceptance it is recommended to look into ways to legitimize
digital preservation not only by risk management but also to develop methods for cost and effort
estimation for the digital preservation process in general, the Context Model generation and for
preservation approaches. TIMBUS did not have this specific research focus. Projects such as 4C are
entirely focused on that topic. Rather, TIMBUS implemented the existing Life3 model in a modular
way which would allow other models to be substituted for it if desired in the future. The existence
of the 4C project is somewhat of an acknowledgement that no single, best known method for
calculation of preservation costs has been widely adopted but that is not the same as saying that
no models exist. The 4C project has the goal to evaluate and assess the various cost models and
investigate how to improve their adoption.
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Annex
A Work product characteristics
“Work product characteristics listed in this Annex can be used when reviewing potential inputs and outputs
of process implementation. The characteristics are provided as guidance for the attributes to look for, in a
particular sample work product, to provide objective evidence supporting the assessment of a particular
process. A documented process and assessor judgment is needed to ensure that the process context
(application domain, business purpose, development methodology, size of the organisation, etc.) is
considered when using this information. Work products are defined using the schema described in Table
B.1. Work products and their characteristics should be considered as a starting point for considering
whether, given the context, they are contributing to the intended purpose of the process, not as a check-
list of what every organisation must have.
Work product identifier # An identifier number for the work product which is used to
reference the work product.
Work product name Provides an example of a typical name associated with the work
product characteristics. This name is provided as an identifier of the
type of work product the practice or process might produce.
Organisations may call these work products by different names. The
name of the work product in the organisation is not significant.
Similarly, organisations may have several equivalent work products
which contain the characteristics defined in one work product type.
The formats for the work products can vary. It is up to the assessor
and the organisational unit coordinator to map the actual work
products produced in their organisation to the examples given here.
Work product characteristics Provides examples of the potential characteristics associated with
the work product types. The assessor may look for these in the
samples provided by the organisational unit.
“(ISO/IEC 15504-5)
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A.1 Generic Work products
WP ID WP Name WP Characteristics
WP.01 Risk Assessment Report (RAR) RAR is the result of the Risk Assessment Management process
(as described in Section 3.3.1.1). It evaluates the risks of a
specific business process setting according to their expected
likelihood and impact.
WP.02 Context model instance (CMI) CMI specified the context of a specific business process
including technical, organisational and legal aspects.
WP.03 Process Preservation Plan (PPP) The Process Preservation Plan (PPP) specifies actions to
digitally preserve a business process. It includes:
a specification of the significant properties of the process;
methods to acquire the relevant data from the source sys-
tem;
preservation actions for the components of the business
process;
validation and verification mechanisms including measure-
ment points and data;
archival storage format for the business process;
redeployment procedure;
evaluation of the plan against the preservation require-
ments;
monitoring events for review of the preservation plan.
WP.04 Validation and Verification Plan The V&V plan specifies the validation and verification
procedure for the preserved and redeployed business process.
The Goal of the V&V Plan is to provide measurements to check
whether the significant properties of the process were
preserved over time.
WP.05 Business Process Specification Specifies the business process to be preserved and contains for
example: Models;
Descriptions.
WP.06 Source Environment The environment in which the original process resides.
WP.07 Requirements of the
stakeholders (concern)
Requirements on digital preservation of the process imposed
by the stakeholders. (Mainly based on concerns related to risk
management)
WP.08 Domain specific information of
the context
The business domain specific information before they are
modelled.
WP.09 Domain specific models The business domain specific models of a process or context.
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WP.10 CMI with views WP.02 Context model instance (CMI) with Views for different
Stakeholders. For more information about the context models
used here refer to D8.7 [6].
WP.11 Preservation Requirements List of Requirements for the digital preservation of a business
process. (in distinction to WP.07 not ordered by Stakeholder)
WP.12 Evaluated preservation plan A preservation plan that has been evaluated.
WP.13 Evaluated Process Preservation
Action Plan (PPP)
A PPP that has been evaluated.
WP.14 Selected preservation strategy Preservation strategy to be performed on the business
process. Strategy is selected by Risk Management.
WP.15 Execution plan for preservation
of the business process
Document that describes how the preservation is to be
performed from an operational perspective.
WP.16 Captured data Captured software, data and configuration from live system
(e.g. current snapshot of data bases).
WP.17 Validation and Verification data
for the preserved business
process
Captured data for validation and verification purposes during
execution of the preservation and to verify successful
redeployment.
WP.18 Preserved business process Contains: CMI
Data
Software, configurations
Documentation of performed preservation action
Etc.
WP.19 Results of QA Results of the quality assurance step. Includes decision if
preservation was successful.
WP.20 AIP (Archival information
packages)
Format in which the preserved process will be stored in the
archive.
WP.21 Monitor Events Defined Parameters for re-evaluation of preserved business
process.
WP.22 Archive Archive where preserved business processes are stored.
WP.23 Business process description Description of a preserved business process. (CMI)
WP.24 Redeployment environment Environment in which a dearchived process will be deployed.
WP.25 CMI of the redeployment
environment
Context Model Instance of the redeployment environment.
WP.26 Gap report Contains a list of gaps between needed and actual
redeployment environment.
WP.27 Redeployment plan Describes how to do the redeployment of an archived business
process.
WP.28 Retrieved business process data Data associated with the process including: Software;
Configuration;
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working data (such as database tables with business data).
WP.29 Instantiated environment Redeployment environment which has been set-up with a
dearchived process.
WP.30 Redeployed business process Business process that has been deployed and executed in the
redeployment environment.
WP.31 Monitoring measurements Taken during re-execution after initial redeployment.
WP.32 Validation result Result of the comparison between the results of a redeployed
process and its verification data
WP.33 List of identified risks A list with identified risks for a specific business process.
WP.34 Report about likelihood and
impact of identified risks
A Report about likelihood and impact of identified risks.
WP.35 Suggestions for Abstractions List of process context contents that could be abstracted.
WP.36 Results of verify abstraction A Document or statement whether the abstracted business
process context still contains all necessary information for
preservation and redeployment.
WP.37 Decision A decision what to do next or whether a process step was
successfully performed or not.
WP.38 Preservation Knowledge Base Knowledge base containing and providing information related
to the past and ongoing preservation work.
WP.39 Results of evaluation of the
preservation approaches
against the preservation
requirements
Results of evaluation of the preservation approaches against
the preservation requirements.
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References
1. Strodl, S. et al (2013) D4.6: Use Case Specific DP & Holistic Escrow, W4 – Processes and Methods for
Digitally Preserving Business Processes
2. Antunes, G. et al (2013) D8.1: Use Case Definition and Digital Preservation Requirements
3. ISO/IEC 15504 (2012) Information technology — Process assessment Parts 1-5
4. Vieira, R. et al (2012) D8.4: Digitally Preserving CAD/CAM Business Processes
5. Cardoso, J. et al (2013) D8.6: Refined Digitally Preserving CAD/CAM Business Processes
6. Cardoso, J. et al (2013) D8.7: Digitally Preserving Large Mathematical Simulations