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

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UNTLibrariesDigitalPreservationPolicyFrameworkDate:October2015Version:1.0Contributors:MarkPhillipsAssistantDeanforDigitalLibrariesAnaKrahmerSupervisor,DigitalNewspaperUnitHannahTarverDepartmentHead,DigitalProjectsUnitDanielAlemnehSupervisor,DigitalCurationUnitLauraWaughRepositoryLibrarianforScholarlyWorksThisworkislicensedunderaCreativeCommonsAttribution4.0InternationalLicense.Note:Thisisanarchivedversionofthisdocument.Anuptodateversionifavailableat:http://www.library.unt.edu/policies/http://www.library.unt.edu/policies/UNTLibrariesDigitalPreservationPolicyFramework1.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 DevelopacademicprogramsthatdefineUNTasaleaderinscholarshipandartisticendeavors Improvethequalityoftheteachingandlearningenvironment Enhanceandbetterservethestudentbody Createamorediverseuniversitycommunity HelpbuildTexasfuturebyensuringaccesstothiscorpusofinformationovertime3.ObjectivesTheprimarypurposeofdigitalstewardshipandpreservationistocollectandmaintaintheintellectualandculturalheritageimportanttoUNT,whileatthesametimemakingsurethatitisaccessibleandheldintrustforfutureuse.Theobjectivesinthisstatementdefineaframeworkto:1 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.25.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. 36.Principles6.1GuidingprinciplesUNTLwilluseconsistentcriteriaforselectionandpreservationaswithotherresourcesinthelibraries.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,andtechnicalinformation)necessaryforaccesstoandtheuseofthedigitalassets. Complywithcopyright,intellectualpropertyrights,and/orotherlegalrightsrelatedtocopying,storage,modification,anduseofdigitalresources.6.3Standards UNTisbestservedwhendistributedanddisparatesystemsconformtostandardsandbestpracticesthatmakecommunicationbetweenthesestoragesystemspossible. ToutilizetheOAISReferenceModelasthebasisfordevelopingandimplementingstrategiesandtoolsforlongtermdigitalinformationpreservationandaccess.47.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,orforcontentthatdoesnotmeettherequirementsoftheCollectionDevelopmentPolicyfortheUNTLibrariesDigitalCollections8.LevelsofPreservationUNTLadherestotheNationalDigitalStewardshipAlliance(NDSA)LevelsofDigitalPreservationdevelopedbyNDSA,asatieredsetofrecommendationsonhoworganizationsshouldbegintobuildorenhancetheirdigitalpreservationactivities.toensuresecure,longtermintegritytoitsdigitalcollections.Basedonthecurrentdigitalpreservationstandards,UNTLwillapplytheNDSAlevelsasawayofidentifyinggapsandimprovingitsdigitalpreservationinfrastructure.58.1NDSALevelsofPreservationNationalDigitalStewardshipAlliance(NDSA)(2012).NDSALevelsofPreservation Retrievedfrom http://www.digitalpreservation.gov/ndsa/activities/levels.html6http://www.digitalpreservation.gov/ndsa/activities/levels.html9.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:includethevarioustypesofclientswhousetheUNTLibrariesDigitalCollections10.Collaboration/CooperationUNTLacknowledgesdigitalpreservationasasharedcommunityresponsibility,andassuchhaslongstandingandemergingpartnershipswithsimilarlycommittedorganizations(e.g.,TDLandMetaArchive)andiscommittedtocollaboratingwithotherinstitutions,inadditiontounitsinternaltoUNTinorderto:7 AdvancethedevelopmentoftheUNTLdigitalpreservationprogram. Sharelessonslearnedwithotherdigitalpreservationprograms. Extendthebreadthofouravailableexpertise. ExtendthedigitalcontentthatisavailablewithinabroadinformationcommunitytoUNTLusersthroughcooperativeefforts.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,theadoptionofstandards,andtheevolutionofbestpracticesandprocedures.13.ReviewCycleThispolicywillbereviewedandupdatedasneededwithafullrevieweverytwoyearstoassuretimelyrevisionsastechnologyprogressesandpreservationstrategiesandexperiencemature.8Appendix1:GlossaryAccess:Theprocessfortheretrievalofdataandinformationfromstoragemedia,throughtheuseofcatalogs,indexes,and/orothertools.Acquire:Totakephysicalandlegalcustodyofdataandinformation.Analog:Dataandinformationinaformatthatmustbedigitizedtomakeitdigitallyaccessible.Aubrey:FrameworkdevelopedbytheUNTLibrariestoprovideenduseraccesstodigitalcollectionsinfortheUniversityofNorthTexasLibraries.BitLevelPreservation:Minimumdigitalpreservationstandardthegoalistomaintaintheintegrityoftheoriginalbitstreamofadigitalobject.Itisaccomplishedbymaintainingbackupcopies(onsiteand/oroffsite),theperiodicrefreshingofthosecopiestonewstoragemedia,andconductingfixitychecking.BornDigital:Dataandinformationcreatedandmaintainedinadigitalformat.Coda:ArchivalmanagementsystemcreatedbytheUNTLibrariesforregistering,storing,replicating,andverifyingfixityofpreservationfiles.Collection:Agroupofmaterialsassembledbyapersonand/ororganization,withoneormoreunifyingcharacteristic.Curation:Activitiesrelatedtomanagingdataandinformationthroughoutitslifecycle,ensuringthatdataareproperlyappraised,selected,andsecurelystored,whileappropriatelymaintaininglogicalandphysicalintegrityandauthenticity.Further,thatdataismadeandremainsaccessibleandviableinsubsequenttechnologyenvironments.DataSets:Collectionsofdata.Thedataformatsinclude,butarenotlimitedto,flatfiletabulardata,relationaldatabases,textcorpora,qualitativedatainfieldnotes,scholarlyeditionsandthematicresearchcollections.DigitalAssets:Digitalobjects(e.g.,text,image,audiovisualfiles)ownedormanagedbyaninstitution(orperson).DigitalCollections:ThecollectivedigitallibraryinterfacesoperatedbytheUNTDigitalLibrariescomprisingThePortaltoTexasHistory,theUNTDigitalLibrary,andTheGatewayto9OklahomaHistory.WhenusedinthecapitalizedformitismeanttorefertotheUNTLibrariesDigitalCollections.DigitalObject:Anentityinwhichoneormorecontentfilesandtheircorrespondingmetadataareunited,physicallyand/orlogically,throughtheuseofadigitalwrapper.DigitalPreservation:Comprehensivesetofmanagedactivitiesthatarenecessarytoprovidecontinuedaccesstodigitalobjects,beyondthelimitsofmediafailureortechnologychange.Atminimumitshouldincludebitlevelpreservation.DigitalRightsAgreement:AlegaldocumentthatprovidestheUNTLibrariesanonexclusivelicensetopreserveandprovideaccesstoresourcesownedbytherightsownerfordigitalcontentintheUNTLibrariesDigitalCollections.DigitalWrapper:Atechnologythatencapsulatesadministrative,technical,preservation,descriptive,orstructuralmetadataandpossiblycontentfilesintoaspecifiedformatforserializationortransmission.AnexampleofthisistheMetadataEncoding&TransmissionStandard(METS).DigitizedMaterials:Analogmaterialsthathavebeentransformedintodigitalform,especiallyforstorage,accessanduseinacomputerenvironment.EUID:EnterpriseUserIDisthelocalterminologyfortheuniqueidentifiergiventostudents,facultyandstaffattheUniversityofNorthTexasaspartoftheauthenticationframeworkinusebytheuniversity. InstitutionalRecords:Dataorinformationinafixedform,regardlessofmedium,thatiscreatedorreceivedinthecourseofinstitutionalactivitiesandmaintainedasevidenceofthatactivityforfuturereference.ObjectFixity:Thequalityofadigitalobjecttobestableandresistchange.OnCampus:PhysicalUNTlocationsinDentonincludingthemaincampusandDiscoveryPark.OpenArchivalInformationSystem(OAIS)ReferenceModel:Atheoreticalframeworkthatdescribesthecomponentsandprocessesnecessaryforadigitalarchive,includingsixdistinctfunctionalareas:ingest,archivalstorage,datamanagement,administration,preservationplanningandaccess.(AGlossaryofArchivalandRecordsTerminology,SocietyofAmericanArchivists2005)Fullreferencemodelandspecifications:ReferenceModelforanOpenArchivalInformationSystem(OAIS),RecommendedPractice,CCSDS650.0M2,MagentaBook,SpaceCommunicationsandNavigationOffice,NASA,June201210Partners:Person(s)ororganization(s)thatcontributematerialstotheUNTLibrariesDigitalCollections,andwhoareusuallythecontentownersorrightsholdersforthematerials.PartnershipAgreement:AlegaldocumentthatdefinestherelationshipbetweentheUNTLibrariesandacontributingpartneraswellasthevariousrightseachretainstothedigitalcontentintheUNTLibrariesDigitalCollections.Provenance:Informationregardingtheorigins,custody,andownershipofanitemorcollection.(RichardPearceMoses,AGlossaryofArchivalandRecordsTerminology,SocietyofAmericanArchivists2005)Reformatting:Theprocessofcreatingacopywithaformatorstructuredifferentfromtheoriginal,forpreservationand/oraccessthismaybeaccomplishedvia,transcription,xerography,microfilming,and/ordigitization.Scholarship:Useofintellectualresources,suchasthosemanagedbytheUNTLibraries,forresearch,teaching,andlearning.Stewardship:Theresponsibilityforoverseeingandprotectingmaterialsandassets.SustainableAccess:Theprocessofprovidinglongtermresources(fiscal,human,andtechnological)necessarytomaintainaccesstoinformationanddigitalobjectsinarepository.TrustedDigitalRepository:Arepositorywhosemissionistoprovidereliable,longtermaccesstomanageddigitalresourcestoitsdesignatedcommunity,nowandinthefuture.Trustworthinessshouldbequantifiableviaanassessmenttoolappliedtoarepositoryconceptualmodel(e.g.TRAC/ISO16363forforOAISReferenceModel).UniversityofNorthTexasLibraries(UNTL):ThelibrarymanagingthedigitalcollectionsdiscussedthroughouttheDigitalPreservationpolicydocumentation.UNTCommunity:IndividualsandentitiescurrentlyaffiliatedwiththeUniversityofNorthTexasthathaveavalid/activeEUID.UNTDigitalLibraries:AdministrativeunitintheUNTLibrariesthatmanagesdigitalandwebbasedsystems.UNTExtendedCommunity:UNTstudents,faculty,staff,alumni,andadministrators.11Appendix2:SourcesConsultedThefollowingresourceswereconsultedinthedevelopmentofthispolicyframework:CornellUniversityLibraryDigitalPreservationPolicyFramework(December2004)OhioStateUniversityDigitalPreservationPolicyFramework(August2013)ReferenceModelforanOpenArchivalInformationSystem(OAIS),RecommendedPractice,CCSDS650.0M2(MagentaBook)Issue2,June2012SocietyofAmericanArchivistsAGlossaryofArchivalandRecordsTerminology,200512http://ecommons.library.cornell.edu/bitstream/1813/11230/1/cul-dp-framework.pdfhttp://library.osu.edu/documents/SDIWG/Digital_Preservation_Policy_Framework.pdfhttp://public.ccsds.org/publications/archive/650x0m2.pdfhttp://www2.archivists.org/glossary

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