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

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<ul><li><p>UNTLibrariesDigitalPreservationPolicyFramework</p><p>Date:October2015</p><p>Version:1.0</p><p>Contributors:MarkPhillipsAssistantDeanforDigitalLibrariesAnaKrahmerSupervisor,DigitalNewspaperUnitHannahTarverDepartmentHead,DigitalProjectsUnitDanielAlemnehSupervisor,DigitalCurationUnitLauraWaughRepositoryLibrarianforScholarlyWorks</p><p>ThisworkislicensedunderaCreativeCommonsAttribution4.0InternationalLicense.</p></li><li><p>Note:Thisisanarchivedversionofthisdocument.Anuptodateversionifavailableat:http://www.library.unt.edu/policies/</p><p>http://www.library.unt.edu/policies/</p></li><li><p>UNTLibrariesDigitalPreservationPolicyFramework</p><p>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.</p><p>2.PurposeThisdocumentformalizestheUNTLscontinuedcommitmenttothelongtermstewardshipfor,preservationof,andsustainableaccesstoitsdiverseandextensiverangeofdigitalassets.InalignmentwiththeUNTLmissiontocreate,acquire,organize,disseminate,andpreservedigitalcontent,thispolicymakesexplicitUNTLslongtermcommitmenttotheUniversityofNorthTexas(UNT)communityasitstrusteddigitalrepository.TheUNTLsdigitalstewardshipeffortscontributetoUNTsmissionto:</p><p> Buildaworldclassfaculty DevelopacademicprogramsthatdefineUNTasaleaderinscholarshipandartistic</p><p>endeavors Improvethequalityoftheteachingandlearningenvironment Enhanceandbetterservethestudentbody Createamorediverseuniversitycommunity HelpbuildTexasfuturebyensuringaccesstothiscorpusofinformationovertime</p><p>3.ObjectivesTheprimarypurposeofdigitalstewardshipandpreservationistocollectandmaintaintheintellectualandculturalheritageimportanttoUNT,whileatthesametimemakingsurethatitisaccessibleandheldintrustforfutureuse.Theobjectivesinthisstatementdefineaframeworkto:</p><p>1</p></li><li><p> Identify,throughsystematicselection,digitalassetstobepreservedacrossnewgenerationsoftechnology.</p><p> Maintaincontinuousaccesstoreliabledataatbitstreamlevel,thedigitalassetsencodedinthebitstreams,aswellasaccesstotheintendedcontextualandintellectualmeaningofthedigitalassets.</p><p> Includeinthescopeoftheprogrammaterialsthatoriginatedindigitalformandthosethatwereconvertedtodigitalform.</p><p> ProtectUNTLsdigitalinvestmentsthroughafullyimplementeddigitalpreservationprogram.</p><p> Demonstrateorganizationalcommitmentthroughtheidentificationofsustainablestrategies.</p><p> Developacosteffectiveprogramthroughmeanssuchassystemwideintegration,sharedresponsibilities,andautomatinghumanintensiveefforts,whenpossible.</p><p> Complywithprevailingcommunitystandardsfordigitalpreservationandaccess. Seek,expand,anddevelopdigitalpreservationmethodsthatareappropriateforUNT.</p><p>4.MandateUNTLsmandatefordigitalpreservationisfivefold:</p><p> Scholarship:Asaninstitutionofhighereducation,UNTisobligatedtosupportcorefunctionssuchasscholarship,teaching,andlearning.Asmoreresourcesandservicesassociatedwiththesefunctionsbecomedigital,UNTLsresponsibilitiesmustexpandtoincludetheidentification,stewardship,andpreservationofdesignateddigitalcontent.</p><p> Institutionalrecords:UNThaschargedUNTLwithmaintainingtheUniversityArchivesbycollectingandpreservinguniversityrecordsthatbestdocumentthehistoryofUNT,includingthoseinelectronicformat.</p><p> Legalobligations:UNThasmandatedresponsibilitiestopreserveandmaintainaccesstocertaindigitalcollections,aswellasresponsibilitiesasafederaldepositorylibrary.SomelegalobligationsderivedfromFederalandStatelawsrequireustomaintainfilesinanarchivalfashion.</p><p> Organizationalcommitment:UNTLscommitmenttodigitalpreservationisexplicitlycitedintheUNTLscurrentstrategicplan,whichcallsforUNTLto:</p><p> developandimplementacrossdivisionalplanforsupportingcuration,storageanddisseminationoflibrarycreatedorlibrarymanageddigitalcontent</p><p> buildarobust,reliable,securetechnicalinfrastructurebaseincludingbothhumanandtechnologyresources.</p><p> Consortiaandcontractualcommitments:UNTLmaintainscommitmentstopartnerinstitutionsoftheUNTLibrariesDigitalCollections,includingThePortaltoTexasHistory,aswellascontractualagreementstoassumeorshareintheresponsibilitiesforpreservingdesignateddigitalcontent.</p><p>2</p></li><li><p>5.ChallengesRecognizedchallengesinimplementinganeffectivedigitalpreservationprograminclude,butarenotlimitedto:</p><p> Rapidgrowth:Technologythatenablesthepreservationanddisseminationofavarietyofformatschangesrapidly.Asdifferenttypesofmaterialsaresubmitted(e.g.,datasets,complexdigitalobjects),monitoringdifferentneedsofthematerials(storagesize,metadata,etc.)andmaintainingproceduresandpoliciesbasedontheseneedsisnecessary.</p><p> Sustainability:Asustainabledigitalpreservationmodelshouldbedevelopedthatwillrespondtotechnologicalandstaffingchangesasneeded,withoutunderoroverestimatingtheneedsimposedbythesechanges.Theneedforgoodcostmodelsandaffordableprogramsiswidelyacknowledged,yetstillnotfullyaddressedonawiderpublicscale.UNTLrequiressufficientfundingforoperationsandmajorimprovementsfordigitalassetmanagement,aswellasdesignatedlibraryfundingtosustainongoingpreservationefforts.Further,thereareadministrativecomplexitiesinensuringcosteffectiveandtimelyactiontoimplementpreservationstrategies.Thescaleoffundingisbasedonthelevelofcommitment,thereforetheprogramshouldreflectreasonableexpectationsofrequisiteresources,i.e.,UNTLshouldnotpromisemorethancanbedelivered.</p><p> Management:Movingfromwellmanageddigitalcollectionstopreservedcollectionsrequiresinstitutionaleffort,partnershipdevelopment,andafinancialcommitment.UNTLshouldprovideathoughtfulbalancebetweenaccessandpreservation,whilebeingmindfulofpreservationscoreroleinmaintainingaccess.</p><p> Partnerships:UNTLmustworkwithcreatorsandprovidersofcrucialcontenttoemployappropriatemaintenancepriortodepositthatwillfacilitatefuturepreservation.</p><p> Flexibility:Thedigitalpreservationplanmustcontinuallyreviewitsabilitiestorespondtotheevolvingtechnologicalcapabilitiesandchanginguserexpectationswithoutjeopardizingtheongoingcareofthedigitalcontent.</p><p> Expertise:UNTLmustcommittocontinuallyupdatingstaffexpertise,whereappropriate,astechnologieschange.</p><p> Rights:Theremaybeintellectualpropertyandotherrightsbasedconstraintsonprovidingaccessthatimpactdigitalpreservationefforts.</p><p> Privacy:AsUNTLstrivestomakeincreasinglymoredigitalcollectionsopenlyavailabletotheworld,personalinformationmightappearwithinthesecollectionsthatviolatestheprivacyofthepeoplewhomthisinformationrepresents. </p><p>3</p></li><li><p>6.Principles</p><p>6.1GuidingprinciplesUNTLwilluseconsistentcriteriaforselectionandpreservationaswithotherresourcesinthelibraries.MaterialsselectedfordigitalstewardshipandpreservationcarrywiththemUNTLscommitmenttomaintainthematerialsforaslongasneededordesired.</p><p> TheLibrariesarecommittedtothelongtermpreservationofselectedcontent. DigitalpreservationisanintegralpartofUNTLsprocess. Processes,policies,andtheinstitutionalcommitmentaretransparentlydocumented. Levelsofpreservationandtimecommitmentsaredeterminedbyselectorsandcurators,</p><p>inconsultationwithtechnicalexperts. UNTLwillparticipateinthedevelopmentofdigitalpreservationcommunitystandards,</p><p>practices,andsolutions.</p><p>6.2OperatingprinciplesTheLibrarieswillstriveto:</p><p> Developascalable,reliable,sustainable,andauditabledigitalpreservationinfrastructure.</p><p> Managethehardware,software,andstoragemediacomponentsofthedigitalpreservationfunctioninaccordancewithenvironmentalstandards,qualitycontrolspecifications,andsecurityrequirements.</p><p> ComplywiththeOpenArchivalInformationSystem(OAIS)referencemodelandotherappropriatedigitalpreservationstandardsandpractices.</p><p> Ensurethatthedigitalarchiveisasinteroperableaspossiblebyutilizingopensourceoptionswheneverfeasible.</p><p> Ensuretheintegrityofthedatawithinthedigitalpreservationinfrastructure. Securemetadata(e.g.,administrative,descriptive,preservation,provenance,rights,and</p><p>technicalinformation)necessaryforaccesstoandtheuseofthedigitalassets. Complywithcopyright,intellectualpropertyrights,and/orotherlegalrightsrelatedto</p><p>copying,storage,modification,anduseofdigitalresources.</p><p>6.3Standards UNTisbestservedwhendistributedanddisparatesystemsconformtostandardsand</p><p>bestpracticesthatmakecommunicationbetweenthesestoragesystemspossible. ToutilizetheOAISReferenceModelasthebasisfordevelopingandimplementing</p><p>strategiesandtoolsforlongtermdigitalinformationpreservationandaccess.</p><p>4</p></li><li><p>7.CategoriesofCommitmentUNTLslevelsofcommitmentasoutlinedbelowrecognizethatdevelopingsolutionsforborndigitalmaterialsinformssolutionsfortheothercategoriesitdoesnotimplythattheseassetsareinherentlymorevaluableorimportantthananyoftheothercategoriesand/orourtraditional,analogmaterials.</p><p> Borndigitalmaterials:Rigorouseffortwillbemadetoensurepreservationinperpetuityofmaterialsselectedforpreservation,bothlibraryresourcesandinstitutionalrecords.</p><p> Digitizedmaterials(noavailableanalog):Everyreasonablestepwillbetakentopreservematerialswithoutaprintanalog,whenredigitizingisnotpossibleoranalogversionsarelocatedelsewhere.Alsoincludedaredigitizedmaterialsthathaveannotationsorothervalueaddedfeaturesmakingthemdifficultorimpossibletorecreate.</p><p> Digitizedmaterials(availableanalog):Reasonablemeasureswillbetakentoextendthelifeofthedigitalobjectswithareadilyavailableprintanalog.However,thecostofredigitizingasneededwillbeweighedagainstthecostofpreservingtheexistingdigitalobjects.</p><p> Commerciallyavailabledigitalresources:UNTLhasresponsibilityforworkingexternallythroughconsortia,licensingagreements,etc.toassurethatonepartyorpartiesprovidesthenecessaryinfrastructuretoprovideforpreservationactivitiessothatUNTfaculty,staff,andstudentswillhaveadequateongoingaccesstocommerciallyavailabledigitalresources.IftheresourcesareexternaltoUNTL,thereneedstobeanarticulatedexitstrategyintheeventofthecessationoftheconsortiaorlicensingagreements.Particularemphasisshouldbegiventoresourceswhichexistindigitalformonly.</p><p> Otheritemsandmaterials:Nopreservationstepswillbetakenformaterialsrequestedforshorttermuse,suchasmaterialsscannedforEreserveanddocumentdelivery,orforcontentthatdoesnotmeettherequirementsoftheCollectionDevelopmentPolicyfortheUNTLibrariesDigitalCollections</p><p>8.LevelsofPreservationUNTLadherestotheNationalDigitalStewardshipAlliance(NDSA)LevelsofDigitalPreservationdevelopedbyNDSA,asatieredsetofrecommendationsonhoworganizationsshouldbegintobuildorenhancetheirdigitalpreservationactivities.toensuresecure,longtermintegritytoitsdigitalcollections.Basedonthecurrentdigitalpreservationstandards,UNTLwillapplytheNDSAlevelsasawayofidentifyinggapsandimprovingitsdigitalpreservationinfrastructure.</p><p>5</p></li><li><p>8.1NDSALevelsofPreservation</p><p>NationalDigitalStewardshipAlliance(NDSA)(2012).NDSALevelsofPreservation </p><p>Retrievedfrom http://www.digitalpreservation.gov/ndsa/activities/levels.html</p><p>6</p><p>http://www.digitalpreservation.gov/ndsa/activities/levels.html</p></li><li><p>9.RolesandResponsibilitiesUNTLhasidentifiedthefollowingstakeholdercategoriesforthedigitalpreservationprogram.TheterminologyisadaptedfromtheOAISReferenceModel(CCSDS650.0M2(2012)).</p><p> Producer:istheroleplayedbythosepersonsorclientsystemsthatprovidetheinformationtobepreserved.Producersincludefaculty,students,staff,alumni,collectors,creatorsofcontent,publishers,andothers.Producerswillberesponsibleforcomplyingwithestablisheddepositrequirementsandworkingwiththemanagementofthedigitalarchivetoensureasuccessfultransfer.(expandedOAISdefinition)</p><p> Management:istheroleplayedbythosewhosetoverallOAISpolicyasonecomponentinabroaderpolicydomain,forexampleaspartofalargerorganization.UNTLsDeansCouncilwillberesponsibleforsettingdigitalpreservationpoliciesandintegratingthemintobroaderorganizationalcontexts.(expandedOAISdefinition)</p><p> Administrators:encompasscontentstewards(designatedstaffresponsibleforselectionandforongoingcurationofspecificcollections),digitalpreservationspecialists,andworkingteams(seeappendixforlist).Administratorswillberesponsiblefortheestablishmentofthedigitalpreservationprogramandfordaytodaymanagementofthedigitalarchives.[Note:OAISusesAdministrationFunctionalEntity:TheOAISfunctionalentitythatcontainstheservicesandfunctionsneededtocontroltheoperationoftheotherOAISfunctionalentitiesonadaytodaybasis.]</p><p> CooperatingArchives:includesthoseArchivalInstitutionsthathaveDesignatedCommunitieswithrelatedinterests.Theymayorderandingestdatafromeachother.Ataminimum,cooperatingArchivesmustagreetosupportatleastonecommonSubmissionInformationPackage(SIP)andDisseminationInformationPackage(DIP)forinterArchiverequests.AtUNTLwethinkofthisgroupascollaborators.Examplesinclude:TexasDigitalLibrary(TDL).</p><p> Consumer:representstheroleplayedbythosepersons,orclientsystems,whointeractwithOAISservicestofindpreservedinformationofinterestandtoaccessthatinformationindetail.ThiscanincludeotherOAISes,aswellasinternalOAISpersonsorsystems.</p><p> UserGroups/ClientGroups:includethevarioustypesofclientswhousetheUNTLibrariesDigitalCollections</p><p>10.Collaboration/CooperationUNTLacknowledgesdigitalpreservationasasharedcommunityresponsibility,andassuchhaslongstandingandemergingpartnershipswithsimilarlycommittedorganizations(e.g.,TDLandMetaArchive)andiscommittedtocollaboratingwithotherinstitutions,inadditiontounitsinternaltoUNTinorderto:</p><p>7</p></li><li><p> AdvancethedevelopmentoftheUNTLdigitalpreservationprogram. Sharelessonslearnedwithotherdigitalpreservationprograms. Extendthebreadthofouravailableexpertise. ExtendthedigitalcontentthatisavailablewithinabroadinformationcommunitytoUNTL</p><p>usersthroughcooperativeefforts.Generally,inworking,cooperating,andcollaboratingwithothers,UNTLwillstriveto:</p><p> Understandthegoals,objectives,andneedsofthecommunitiesofcreatorsandthecommunitiesofconsumersofitsdigitalresources.</p><p> Identifyappropriatepartnersandstakeholderstocontributetonationalandinternationaleffortsindigitalpreservation.</p><p> Helpdevelopnationalandinternationalstrategiesandinitiativesthatenablethedistributionofcollection,description,servicedelivery,digitization,andpreservationactivity.</p><p> Workactivelywithcreatorsofdigitalmaterialstoencourageandpromotestandardsandpractices.</p><p>11.AccessandUseCriteriaUNTLacquires,manages,andpreservesdigitalresourcessothattheyremainaccessibletoitsconstituentsoverthelongterm.Certainlimitationsmaybeplacedonaccessduetolegal,donor,and/orotherrestrictionsgenerally,totheextentthatitispossible,UNTLendeavorstomakeitsdigitalresourcesaccessibletoallusers.Additionalrestrictionsmayapplytousageofitems.SeetheUNTLibrariesDigitalCollectionsUsageandFeedbackPolicy,sections2.Accessand3.Rights/TermsofUseforcompleteguidelines.</p><p>12.ImplementationImplementationofthispolicyframeworkiscontingentupontheinfrastructure(technicalandhumanresources)providedbyUNTandUNTL,theavailabilityofcosteffectivesolutions,theadopt...</p></li></ul>

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