UNT Libraries’ Digital Preservation Policy Framework ?· UNT Libraries’ Digital Preservation ...…

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  • UNTLibrariesDigitalPreservationPolicyFramework

    Date:October2015

    Version:1.0

    Contributors:MarkPhillipsAssistantDeanforDigitalLibrariesAnaKrahmerSupervisor,DigitalNewspaperUnitHannahTarverDepartmentHead,DigitalProjectsUnitDanielAlemnehSupervisor,DigitalCurationUnitLauraWaughRepositoryLibrarianforScholarlyWorks

    ThisworkislicensedunderaCreativeCommonsAttribution4.0InternationalLicense.

  • Note:Thisisanarchivedversionofthisdocument.Anuptodateversionifavailableat:http://www.library.unt.edu/policies/

    http://www.library.unt.edu/policies/

  • UNTLibrariesDigitalPreservationPolicyFramework

    1.ScopeThispolicyaddressespreservationofdigitalcollectionsandresourcesforwhichtheUniversityofNorthTexasLibraries(UNTL)istheprimarycustodian.AlthoughthispolicyonlyaddressesdigitalcollectionsandresourcesforwhichUNTListheprimarycustodian,UNTL,tothebestofitsabilities,hasresponsibilityforinforming,consulting,andasappropriatecoordinatingwithotherunitsoftheUniversityofNorthTexastoensurethatUNTfaculty,staff,andstudentswillhaveadequateongoingaccesstoadministrative,scholarly,andotherdigitalresourcescreatedatUNToutsideoftheUNTLibraries.Further,UNTLpersonnelwillalsoworkexternallythroughconsortia(e.g.,theTexasDigitalLibrary(TDL),andCrossTimbersLibraryCollaborative(CTLC)),licensingagreements,etc.toensurethatUNTfaculty,staff,andstudentswillhaveadequatecontinuingaccesstoallcurrentlyavailabledigitalresourceslocallyownedandmanagedbytheUNTL.UNTL,however,cannotguaranteepreservationformaterialsthatitdoesnotownandmanage.

    2.PurposeThisdocumentformalizestheUNTLscontinuedcommitmenttothelongtermstewardshipfor,preservationof,andsustainableaccesstoitsdiverseandextensiverangeofdigitalassets.InalignmentwiththeUNTLmissiontocreate,acquire,organize,disseminate,andpreservedigitalcontent,thispolicymakesexplicitUNTLslongtermcommitmenttotheUniversityofNorthTexas(UNT)communityasitstrusteddigitalrepository.TheUNTLsdigitalstewardshipeffortscontributetoUNTsmissionto:

    Buildaworldclassfaculty DevelopacademicprogramsthatdefineUNTasaleaderinscholarshipandartistic

    endeavors Improvethequalityoftheteachingandlearningenvironment Enhanceandbetterservethestudentbody Createamorediverseuniversitycommunity HelpbuildTexasfuturebyensuringaccesstothiscorpusofinformationovertime

    3.ObjectivesTheprimarypurposeofdigitalstewardshipandpreservationistocollectandmaintaintheintellectualandculturalheritageimportanttoUNT,whileatthesametimemakingsurethatitisaccessibleandheldintrustforfutureuse.Theobjectivesinthisstatementdefineaframeworkto:

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  • Identify,throughsystematicselection,digitalassetstobepreservedacrossnewgenerationsoftechnology.

    Maintaincontinuousaccesstoreliabledataatbitstreamlevel,thedigitalassetsencodedinthebitstreams,aswellasaccesstotheintendedcontextualandintellectualmeaningofthedigitalassets.

    Includeinthescopeoftheprogrammaterialsthatoriginatedindigitalformandthosethatwereconvertedtodigitalform.

    ProtectUNTLsdigitalinvestmentsthroughafullyimplementeddigitalpreservationprogram.

    Demonstrateorganizationalcommitmentthroughtheidentificationofsustainablestrategies.

    Developacosteffectiveprogramthroughmeanssuchassystemwideintegration,sharedresponsibilities,andautomatinghumanintensiveefforts,whenpossible.

    Complywithprevailingcommunitystandardsfordigitalpreservationandaccess. Seek,expand,anddevelopdigitalpreservationmethodsthatareappropriateforUNT.

    4.MandateUNTLsmandatefordigitalpreservationisfivefold:

    Scholarship:Asaninstitutionofhighereducation,UNTisobligatedtosupportcorefunctionssuchasscholarship,teaching,andlearning.Asmoreresourcesandservicesassociatedwiththesefunctionsbecomedigital,UNTLsresponsibilitiesmustexpandtoincludetheidentification,stewardship,andpreservationofdesignateddigitalcontent.

    Institutionalrecords:UNThaschargedUNTLwithmaintainingtheUniversityArchivesbycollectingandpreservinguniversityrecordsthatbestdocumentthehistoryofUNT,includingthoseinelectronicformat.

    Legalobligations:UNThasmandatedresponsibilitiestopreserveandmaintainaccesstocertaindigitalcollections,aswellasresponsibilitiesasafederaldepositorylibrary.SomelegalobligationsderivedfromFederalandStatelawsrequireustomaintainfilesinanarchivalfashion.

    Organizationalcommitment:UNTLscommitmenttodigitalpreservationisexplicitlycitedintheUNTLscurrentstrategicplan,whichcallsforUNTLto:

    developandimplementacrossdivisionalplanforsupportingcuration,storageanddisseminationoflibrarycreatedorlibrarymanageddigitalcontent

    buildarobust,reliable,securetechnicalinfrastructurebaseincludingbothhumanandtechnologyresources.

    Consortiaandcontractualcommitments:UNTLmaintainscommitmentstopartnerinstitutionsoftheUNTLibrariesDigitalCollections,includingThePortaltoTexasHistory,aswellascontractualagreementstoassumeorshareintheresponsibilitiesforpreservingdesignateddigitalcontent.

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  • 5.ChallengesRecognizedchallengesinimplementinganeffectivedigitalpreservationprograminclude,butarenotlimitedto:

    Rapidgrowth:Technologythatenablesthepreservationanddisseminationofavarietyofformatschangesrapidly.Asdifferenttypesofmaterialsaresubmitted(e.g.,datasets,complexdigitalobjects),monitoringdifferentneedsofthematerials(storagesize,metadata,etc.)andmaintainingproceduresandpoliciesbasedontheseneedsisnecessary.

    Sustainability:Asustainabledigitalpreservationmodelshouldbedevelopedthatwillrespondtotechnologicalandstaffingchangesasneeded,withoutunderoroverestimatingtheneedsimposedbythesechanges.Theneedforgoodcostmodelsandaffordableprogramsiswidelyacknowledged,yetstillnotfullyaddressedonawiderpublicscale.UNTLrequiressufficientfundingforoperationsandmajorimprovementsfordigitalassetmanagement,aswellasdesignatedlibraryfundingtosustainongoingpreservationefforts.Further,thereareadministrativecomplexitiesinensuringcosteffectiveandtimelyactiontoimplementpreservationstrategies.Thescaleoffundingisbasedonthelevelofcommitment,thereforetheprogramshouldreflectreasonableexpectationsofrequisiteresources,i.e.,UNTLshouldnotpromisemorethancanbedelivered.

    Management:Movingfromwellmanageddigitalcollectionstopreservedcollectionsrequiresinstitutionaleffort,partnershipdevelopment,andafinancialcommitment.UNTLshouldprovideathoughtfulbalancebetweenaccessandpreservation,whilebeingmindfulofpreservationscoreroleinmaintainingaccess.

    Partnerships:UNTLmustworkwithcreatorsandprovidersofcrucialcontenttoemployappropriatemaintenancepriortodepositthatwillfacilitatefuturepreservation.

    Flexibility:Thedigitalpreservationplanmustcontinuallyreviewitsabilitiestorespondtotheevolvingtechnologicalcapabilitiesandchanginguserexpectationswithoutjeopardizingtheongoingcareofthedigitalcontent.

    Expertise:UNTLmustcommittocontinuallyupdatingstaffexpertise,whereappropriate,astechnologieschange.

    Rights:Theremaybeintellectualpropertyandotherrightsbasedconstraintsonprovidingaccessthatimpactdigitalpreservationefforts.

    Privacy:AsUNTLstrivestomakeincreasinglymoredigitalcollectionsopenlyavailabletotheworld,personalinformationmightappearwithinthesecollectionsthatviolatestheprivacyofthepeoplewhomthisinformationrepresents.

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  • 6.Principles

    6.1GuidingprinciplesUNTLwilluseconsistentcriteriaforselectionandpreservationaswithotherresourcesinthelibraries.MaterialsselectedfordigitalstewardshipandpreservationcarrywiththemUNTLscommitmenttomaintainthematerialsforaslongasneededordesired.

    TheLibrariesarecommittedtothelongtermpreservationofselectedcontent. DigitalpreservationisanintegralpartofUNTLsprocess. Processes,policies,andtheinstitutionalcommitmentaretransparentlydocumented. Levelsofpreservationandtimecommitmentsaredeterminedbyselectorsandcurators,

    inconsultationwithtechnicalexperts. UNTLwillparticipateinthedevelopmentofdigitalpreservationcommunitystandards,

    practices,andsolutions.

    6.2OperatingprinciplesTheLibrarieswillstriveto:

    Developascalable,reliable,sustainable,andauditabledigitalpreservationinfrastructure.

    Managethehardware,software,andstoragemediacomponentsofthedigitalpreservationfunctioninaccordancewithenvironmentalstandards,qualitycontrolspecifications,andsecurityrequirements.

    ComplywiththeOpenArchivalInformationSystem(OAIS)referencemodelandotherappropriatedigitalpreservationstandardsandpractices.

    Ensurethatthedigitalarchiveisasinteroperableaspossiblebyutilizingopensourceoptionswheneverfeasible.

    Ensuretheintegrityofthedatawithinthedigitalpreservationinfrastructure. Securemetadata(e.g.,administrative,descriptive,preservation,provenance,rights,and

    technicalinformation)necessaryforaccesstoandtheuseofthedigitalassets. Complywithcopyright,intellectualpropertyrights,and/orotherlegalrightsrelatedto

    copying,storage,modification,anduseofdigitalresources.

    6.3Standards UNTisbestservedwhendistributedanddisparatesystemsconformtostandardsand

    bestpracticesthatmakecommunicationbetweenthesestoragesystemspossible. ToutilizetheOAISReferenceModelasthebasisfordevelopingandimplementing

    strategiesandtoolsforlongtermdigitalinformationpreservationandaccess.

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  • 7.CategoriesofCommitmentUNTLslevelsofcommitmentasoutlinedbelowrecognizethatdevelopingsolutionsforborndigitalmaterialsinformssolutionsfortheothercategoriesitdoesnotimplythattheseassetsareinherentlymorevaluableorimportantthananyoftheothercategoriesand/orourtraditional,analogmaterials.

    Borndigitalmaterials:Rigorouseffortwillbemadetoensurepreservationinperpetuityofmaterialsselectedforpreservation,bothlibraryresourcesandinstitutionalrecords.

    Digitizedmaterials(noavailableanalog):Everyreasonablestepwillbetakentopreservematerialswithoutaprintanalog,whenredigitizingisnotpossibleoranalogversionsarelocatedelsewhere.Alsoincludedaredigitizedmaterialsthathaveannotationsorothervalueaddedfeaturesmakingthemdifficultorimpossibletorecreate.

    Digitizedmaterials(availableanalog):Reasonablemeasureswillbetakentoextendthelifeofthedigitalobjectswithareadilyavailableprintanalog.However,thecostofredigitizingasneededwillbeweighedagainstthecostofpreservingtheexistingdigitalobjects.

    Commerciallyavailabledigitalresources:UNTLhasresponsibilityforworkingexternallythroughconsortia,licensingagreements,etc.toassurethatonepartyorpartiesprovidesthenecessaryinfrastructuretoprovideforpreservationactivitiessothatUNTfaculty,staff,andstudentswillhaveadequateongoingaccesstocommerciallyavailabledigitalresources.IftheresourcesareexternaltoUNTL,thereneedstobeanarticulatedexitstrategyintheeventofthecessationoftheconsortiaorlicensingagreements.Particularemphasisshouldbegiventoresourceswhichexistindigitalformonly.

    Otheritemsandmaterials:Nopreservationstepswillbetakenformaterialsrequestedforshorttermuse,suchasmaterialsscannedforEreserveanddocumentdelivery,orforcontentthatdoesnotmeettherequirementsoftheCollectionDevelopmentPolicyfortheUNTLibrariesDigitalCollections

    8.LevelsofPreservationUNTLadherestotheNationalDigitalStewardshipAlliance(NDSA)LevelsofDigitalPreservationdevelopedbyNDSA,asatieredsetofrecommendationsonhoworganizationsshouldbegintobuildorenhancetheirdigitalpreservationactivities.toensuresecure,longtermintegritytoitsdigitalcollections.Basedonthecurrentdigitalpreservationstandards,UNTLwillapplytheNDSAlevelsasawayofidentifyinggapsandimprovingitsdigitalpreservationinfrastructure.

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  • 8.1NDSALevelsofPreservation

    NationalDigitalStewardshipAlliance(NDSA)(2012).NDSALevelsofPreservation

    Retrievedfrom http://www.digitalpreservation.gov/ndsa/activities/levels.html

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    http://www.digitalpreservation.gov/ndsa/activities/levels.html

  • 9.RolesandResponsibilitiesUNTLhasidentifiedthefollowingstakeholdercategoriesforthedigitalpreservationprogram.TheterminologyisadaptedfromtheOAISReferenceModel(CCSDS650.0M2(2012)).

    Producer:istheroleplayedbythosepersonsorclientsystemsthatprovidetheinformationtobepreserved.Producersincludefaculty,students,staff,alumni,collectors,creatorsofcontent,publishers,andothers.Producerswillberesponsibleforcomplyingwithestablisheddepositrequirementsandworkingwiththemanagementofthedigitalarchivetoensureasuccessfultransfer.(expandedOAISdefinition)

    Management:istheroleplayedbythosewhosetoverallOAISpolicyasonecomponentinabroaderpolicydomain,forexampleaspartofalargerorganization.UNTLsDeansCouncilwillberesponsibleforsettingdigitalpreservationpoliciesandintegratingthemintobroaderorganizationalcontexts.(expandedOAISdefinition)

    Administrators:encompasscontentstewards(designatedstaffresponsibleforselectionandforongoingcurationofspecificcollections),digitalpreservationspecialists,andworkingteams(seeappendixforlist).Administratorswillberesponsiblefortheestablishmentofthedigitalpreservationprogramandfordaytodaymanagementofthedigitalarchives.[Note:OAISusesAdministrationFunctionalEntity:TheOAISfunctionalentitythatcontainstheservicesandfunctionsneededtocontroltheoperationoftheotherOAISfunctionalentitiesonadaytodaybasis.]

    CooperatingArchives:includesthoseArchivalInstitutionsthathaveDesignatedCommunitieswithrelatedinterests.Theymayorderandingestdatafromeachother.Ataminimum,cooperatingArchivesmustagreetosupportatleastonecommonSubmissionInformationPackage(SIP)andDisseminationInformationPackage(DIP)forinterArchiverequests.AtUNTLwethinkofthisgroupascollaborators.Examplesinclude:TexasDigitalLibrary(TDL).

    Consumer:representstheroleplayedbythosepersons,orclientsystems,whointeractwithOAISservicestofindpreservedinformationofinterestandtoaccessthatinformationindetail.ThiscanincludeotherOAISes,aswellasinternalOAISpersonsorsystems.

    UserGroups/ClientGroups:includethevarioustypesofclientswhousetheUNTLibrariesDigitalCollections

    10.Collaboration/CooperationUNTLacknowledgesdigitalpreservationasasharedcommunityresponsibility,andassuchhaslongstandingandemergingpartnershipswithsimilarlycommittedorganizations(e.g.,TDLandMetaArchive)andiscommittedtocollaboratingwithotherinstitutions,inadditiontounitsinternaltoUNTinorderto:

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  • AdvancethedevelopmentoftheUNTLdigitalpreservationprogram. Sharelessonslearnedwithotherdigitalpreservationprograms. Extendthebreadthofouravailableexpertise. ExtendthedigitalcontentthatisavailablewithinabroadinformationcommunitytoUNTL

    usersthroughcooperativeefforts.Generally,inworking,cooperating,andcollaboratingwithothers,UNTLwillstriveto:

    Understandthegoals,objectives,andneedsofthecommunitiesofcreatorsandthecommunitiesofconsumersofitsdigitalresources.

    Identifyappropriatepartnersandstakeholderstocontributetonationalandinternationaleffortsindigitalpreservation.

    Helpdevelopnationalandinternationalstrategiesandinitiativesthatenablethedistributionofcollection,description,servicedelivery,digitization,andpreservationactivity.

    Workactivelywithcreatorsofdigitalmaterialstoencourageandpromotestandardsandpractices.

    11.AccessandUseCriteriaUNTLacquires,manages,andpreservesdigitalresourcessothattheyremainaccessibletoitsconstituentsoverthelongterm.Certainlimitationsmaybeplacedonaccessduetolegal,donor,and/orotherrestrictionsgenerally,totheextentthatitispossible,UNTLendeavorstomakeitsdigitalresourcesaccessibletoallusers.Additionalrestrictionsmayapplytousageofitems.SeetheUNTLibrariesDigitalCollectionsUsageandFeedbackPolicy,sections2.Accessand3.Rights/TermsofUseforcompleteguidelines.

    12.ImplementationImplementationofthispolicyframeworkiscontingentupontheinfrastructure(technicalandhumanresources)providedbyUNTandUNTL,theavailabilityofcosteffectivesolutions,theadopt...

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