University of Pretoria Digital Institutional Research Repositoryupspace User Policy Document
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University of Pretoria Digital Institutional Research Repository UPSpace User Policy Document
Working Paper
University of Pretoria Pretoria 0001 http://www.dspace.up.ac.za
Tel.: +27 12 420 3082 Fax: +27 12 362 5100 E-mail: [email protected]
University of Pretoria 1 UPSpace User Policy Version 2.0.0 4/8/2018 Table of Contents
1. About UPSpace 3
2. UPSpace Policy Advisory Group (incl. IR Steering Committee) 3
3. UPSpace User Group 4
4. Open Access Approach at UP Libraries 4
5. Submission Policy 5
6. Policy on Communities within UPSpace 7
7. Responsibilities & Services: Dept. of Library Services, Library Information Systems & Technology & Dept. of IT 10
8. Rights of the Dept. of Library Services 10
9. Responsibilities of the University of Pretoria 10
10. Responsibilities of the Unit for Information Systems & Technology 11
11. Licensing, Copyright, Privacy and Intellectual Property 11
12. Services offered through UPSpace 13
13. Preservation Policy & Support 13
14. Withdrawal policy 16
15. Workflow Policy 16
16. Persistent Identifiers in UPSpace 19
17. Metadata Standards 19
18. Provenance data tracked by UPSpace 20
19. Authentication in UPSpace 20
20. Service Level Agreements 20
21. Communication 20
22. UPSpace Wishlist 21
Bibliography
University of Pretoria 2 UPSpace User Policy Version 2.0.0 4/8/2018 1. About UPSpace
UPSpace is a university-based institutional repository which offers a set of services to the members of the UP Community*, for the management and dissemination of digital academic/research materials (excluding work of administrative or commercial nature) donated to or created by the institution and its community members. The set of services includes the collection, storage and preservation in digital format, and retrieval of items submitted to UPSpace. “It is most essentially an organisational commitment to the stewardship of these digital research materials, including long-term preservation where appropriate, as well as organisation and access or distribution” (Lynch 2003).
The UPSpace interface provides for easy decentralised self-archiving by faculty, and organizes the documents in logical, easily retrievable fashion.
The repository uses DSpaceTM software, developed at MIT with support from Hewlett Packard, which complies with the Open Archives Initiative (OAI); thus allowing articles to be easily discovered by web search engines, services and indexing tools.
Each item in the repository is assigned a unique persistent identifier, using the CNRI Handle System. The identifiers are resolvable in perpetuity, and will remain valid even if content migrates to a new system. This allows documents in the repository to be properly and effectively cited in other research.
* The UP Community refers to:
. Present and future staff members of the Department of Library Services, University of Pretoria; . Past, present and future academic staff at the University of Pretoria; . Focus areas, faculties, centers, institutes and research divisions at UP.
2. UPSpace Policy Advisory Group (incl. IR Steering Committee)
2.1 Focus of the UPSpace Policy Advisory Group
It will be the responsibility of the UPSpace Policy Advisory Group to determine the service’s policies on content submission and distribution, privacy and licensing issues, and other service guidelines.
The Policy Advisory Group’s role will be ongoing; issues will be revisited on a regular basis and as new issues arise. The Policy Advisory Group’s decisions will have important implications for how the UPSpace service fits into the Department of Library Service’s overall mission and the University of Pretoria’s mission and goals.
2.2 Role of the UPSpace Policy Advisory Group
The UPSpace Policy Advisory Group will make decisions related to UPSpace services, standards, and functionality. When the group’s decisions have significant financial, service, or public relations impact, the issues will be referred to the Department of Library Services Management Team, made up of senior library administrators, for endorsement.
2.3 Makeup of the UPSpace Policy Advisory Group
This team includes the following individuals:
University of Pretoria 3 UPSpace User Policy Version 2.0.0 4/8/2018 Mrs Ina Smith (IR Manager & Chair) Dr Heila Pienaar (Deputy Director, Dept. of Library Services) Prof Theo Bothma (Faculty: Engineering, Built Environment & Information Technology) Prof Hennie Stander (Faculty: Theology) Mrs Elna Randall (Faculty Library Manager: Engineering, Built Environment & Information Technology & Natural and Agricultural Sciences) Mrs Erica van der Westhuizen (Faculty Library Manager: Veterinary Science) Mrs Ria Groenewald (Digitization Coordinator) Mr Johann van Wyk (Faculty Library Manager: Education) Mrs Hilda Kriel (Deputy Director, Dept. of Library Services) Mr Gerard de Kamper (Curator: UP Museums)
2.4 Meetings
This group will meet at least twice per annum. Notes of these meetings will be made available to all relevant parties via the [email protected] mailing list.
3. UPSpace User Group
3.1 Focus of the UPSpace User Group
It will be the responsibility of the UPSpace User Group to discuss issues on operational level, and to see to the implementation of policy decisions taken by the UPSpace Policy Advisory Group.
The UPSpace User Group’s role will be ongoing; issues will be revisited on a regular basis and as new issues arise.
3.2 Makeup of the UPSpace User Group
This team includes the following individuals:
IR Manager IR IT Support Manager Digitization Specialist Metadata Specialist Open Access Specialist Copyright Officer Special Collections Representative Representatives (Information Specialists) from Faculty Libraries – give feedback to team
3.3 Meetings
This group will meet every three months. Notes of these meetings will be made available to all relevant parties via the [email protected] mailing list.
4. Open Access Approach at UP Libraries
Research is not always accessible to all, and often only to the benefit of those who can afford to subscribe to very expensive databases. The Department of Library Services supports open access to
University of Pretoria 4 UPSpace User Policy Version 2.0.0 4/8/2018 all research conducted by members of the UP community, provided that patents, copyright and intellectual property rights issues are taken into account, and the laws that govern these issues are adhered to. Through making UP research output freely available for all to access and use, we would like to help increase the usage, impact and citation rate of research conducted by our members, as well as the visibility of the University of Pretoria on international level. This can in turn impact on the NRF-rating and H-index of individual researchers, and the listing of the University of Pretoria on the Shanghai University List.
Currently there are two currents in the Open Access movement:
• OA self-archiving in institutional repositories (“green” road to OA) • OA publishing (“gold” road to OA – see e.g. DOAJ)
In addition to archive their research output within the institutional repository, researchers are encouraged to publish in journals supporting the gold road.
5. Submission Policy
5.1 Persons allowed to submit content to UPSpace
Any UP staff member or research member of the UP Community may submit items to the repository once the necessary rights have been assigned to that individual by the Collection Administrator of a specific Collection. Permission to submit items to a specific Collection will have to be granted to that member by the administrator of a Collection, in order for him/her to be able to upload items. Applications must be send directly to the e-mail address of the Collection Administrator, provided on the Collection Homepage.
5.2 Content to be submitted to UPSpace
Content of the following nature will be allowed for submission to UPSpace:
1. The work must be produced, submitted or sponsored by the UP Community. 2. The work must be scholarly or research oriented. 3. The work must not be ephemeral. 4. The work must be in digital form. 5. The work should be complete and ready for "publication". 6. The author/owner should be willing and able to grant the University of Pretoria the right to preserve and distribute the work via UPSpace. 7. If the work is part of a series, other works in that series should also be contributed so that UPSpace can offer as full a set as possible. 8. The motivation for submitting an item to UPSpace should be to ensure long-term preservation of the work. Work of temporary value will not be allowed. 9. Work that has been donated to the University of Pretoria. 10. Copyright for all items and files (bitstreams) submitted to UPSpace must have been cleared in advance and where necessary, and a note has to be added to each individual item on submission to UPSpace. 11. File names for files (bitstreams) should adhere to the file naming structure decided upon by the Collection Administrator, as specified in the Collection policy.
5.3 Content not to be submitted to UPSpace
The following material/ content will not be allowed to be submitted into UPSpace:
University of Pretoria 5 UPSpace User Policy Version 2.0.0 4/8/2018 Material which is of controversial nature. Material which contains content of discriminatory nature. Administrative material. Commercial material. Material without the relevant full text attached.
Content submitted to UPSpace have to comply with the South African Bill of Human Rights.
5.4 Digital formats accepted by UPSpace
At the University of Pretoria all manner of digital formats aimed at supporting research activities will be allowed for submission.
Some examples of items that can be accommodated through UPSpace are:
. Documents (e.g. articles, pre-prints, post-prints, working papers, technical reports, conference papers, speeches, newspaper clippings, manuscripts) . E-resources e.g. E-books . Data sets . Computer programs . Visualizations, simulations, and other models . Multimedia publications . Theses and dissertations
The following will, for now, not be accommodated through UPSpace:
. Temporary Learning Objects (Use clickUP/ Blackboard) . Full text digital articles and digital images of temporary nature, e.g. reserved material (Use Millennium)
5.5 Required fields for a Submission
The Qualified Dublin Core Schema (http://dublincore.org/ ), consisting of 15 elements and the qualifiers for each, is used to collect metadata from an item (resource). Reasons for collecting metadata:
. To aid in the retrieval process . As a surrogate for the item (for instance, metadata harvesting by another system) . For use in later products (for instance, a bibliography in a particular discipline)
Listed below are the 15 Qualified Dublin Core fields. Mandatory fields are indicated where applicable.
Metadata Element Description Policy Element Creator Main author. An entity primarily responsible for Mandatory (Unknown if not making the content of the resource e.g. a available) person, an organization or a service. Contributor An entity responsible for making contributions to Not required the content of the resource. Coverage The extent or scope of the content of the Not required resource. Spatial/temporal characteristics of the
University of Pretoria 6 UPSpace User Policy Version 2.0.0 4/8/2018 intellectual content of a resource. Date A date of an event in the lifecycle of the System supplied if not provided resource, associated with the creation, by user availability or lifecycle of the resource. Description An account of the content and provenance of the Encouraged resource, e.g. an abstract, table of contents, origin. All available information on the item not provided for elsewhere. Format The physical or digital manifestation of the System supplied resource. Identifier An unambiguous reference to the resource System supplied within a given context. Language A language of the intellectual content of the Mandatory (pull-down menu, resource. including "non-text") Publisher An entity responsible for making the resource Not required available, responsible for publication, distribution or imprint. Relation A reference to a related resource. Required if available Rights Information about rights held in and over the Mandatory (indicate if no rights resource. apply) Source A reference to a resource from which the present Not required resource is derived. Subject The topic of the content of the resource. Free Mandatory (unqualified) language terms. Title A name given to the resource. The title will be Mandatory (unqualified) the name by which the resource is formally known. Type The nature or genre of the content of the Mandatory resource.
For a detailed explanation and policy on how to apply the 15 metadata fields within UPSpace, please refer to the Metadata Policy Working Paper available at http://www.dspace.up.ac.za/metadata.pdf
Each Community is allowed to have a Community-specific submission user interface, associated with the specific Collections within that Community as specified. Mandatory fields are indicated on the Collection-specific user interfaces.
5.6 Submission of revised versions
The repository will treat any revised versions and the first draft as separate records. Every update that is to be archived will need to be submitted separately. A request for the withdrawal of previous submissions may be sent to [email protected]. All requests will be archived within the “UPSpace Provenance” Collection.
6. Policy on Collections within UPSpace
University of Pretoria 7 UPSpace User Policy Version 2.0.0 4/8/2018 6.1Defining a Collection in UPSpace
Items in the repository are organized according to Collections. A UPSpace "Collection" can be described as an academic unit that produces research, has a defined leader, has long-term stability, and can assume responsibility for setting Collection policies. Each Collection must be able to assign a coordinator (administrator) who can work with the UPSpace Platform Manager. Groups wishing to establish a UPSpace Collection that do not fall into this definition will be considered on a case-by-case basis. Individuals may not submit items without belonging to an established Collection in UPSpace because they do not constitute a unit.
A Top-level Community will only be created once the need therefore is expressed, and once items become available for submission to Collection/s within that Top-level Community. Communities which contain Collections without any content will be removed from the system by the UPSpace Platform Manager. To register a Community or Collection, the Collection Administrator must complete the necessary online form available at https://www.up.ac.za/dspace/application .The Collection Administrator will then be contacted by the UPSpace Platform Manager.
Workflow for registering a UPSpace Top-level Community/Sub-Community/Collection
Collection Administrator
Online Applicati on
Rejected UPSpace Platform Manager
Accepted
The policy document compiled by a Collection will represent a formal agreement with the Department of Library Services or University of Pretoria, with regard to the fair use of UPSpace.
The information model that will be applied at the University of Pretoria is structured as follows:
University of Pretoria 8 UPSpace User Policy Version 2.0.0 4/8/2018 Top-level Community (Faculty/School) Sub-Community (Department/s) Collections (Research Articles, Focus Areas, Conference Papers & Presentations, Conference Proceedings, Chapters from Books, Media & Communication, Working Papers, Open Lectures, Conferences, etc.)
6.2 Responsibilities of a UPSpace Collection Administrator
At the University of Pretoria, a UPSpace Collection Administrator agrees to:
. Arrange for submission and description of content (negotiate for assistance). . Decide on policy regarding content to be submitted (within UPSpace policy & guidelines). . Make decisions about Community and Collection definitions and Collection membership, in collaboration with the UPSpace Manager. . Notify UPSpace of organisational changes affecting submissions. . Understand and observe university policies relevant to UPSpace, and educate community submitters regarding these policies. . Monitor and arrange for copyright clearance. openUP Office takes responsibility for clearing copyright of research articles. . Decide upon a submission workflow for each Collection, in collaboration with the UPSpace Manager and the dept. . Decide upon a submission user interface for each Collection, in collaboration with the UPSpace Manager and the dept. . Administer submitters within a Collection (register & modify submitters). . Update information on submitters where necessary. . Withdraw items when required – forward requests to UPSpace Manager. . Promote UPSpace amongst potential UPSpace users. . Coordinate and monitor overall workflow within Collection. . Communicate important information on the Collection Homepage. . Edit items where required; modify metadata at any stage in line with Metadata Working Paper. . Map items from other Collections into Collection. . Back-up for roles within workflow. . Create Item Templates in collaboration with Metadata Editor. . Frequently communicate information re research available on UPSpace to the relevant department.
Responsibility: Members of the UP Community – preferably an Information Specialist
6.3 Rights retained by a UPSpace Collection Administrator
At the University of Pretoria a UPSpace Collection Administrator retains the right to:
. Decide who may submit content within the Collection . Limit access to content at the item level either to the University of Pretoria only or to specific individuals or groups. Forward requests to the UPSpace Manager. . Receive a copy of submitted content upon request (Subscribe to a Collection). . Remove items and Collections (as outlined in the "Withdrawal Policy"). Forward requests to the UPSpace Manager. . Customise interfaces to Collection content
6.4 Personal Researcher Collections on UPSpace
University of Pretoria 9 UPSpace User Policy Version 2.0.0 4/8/2018 Only created for UP NRF A-rated researchers on request. Researchers are encouraged to have researcher web pages created on the UP web, from where they can link to searches (“Automated Search Linking”) within UPSpace, grouping their research together. See http://www.nrf.ac.za/evaluation/Content/Facts/Ratings.aspx for NRF rating of researchers.
7. Responsibilities and Services offered by the Department of Library Services, Library Information Systems & Technology and Dept. of Information Technology
At the University of Pretoria, the Department of Library Services in collaboration with Library Information Systems & Technology and the Dept. of Information Technology will take responsibility for the following:
. Retain and maintain content submitted to UPSpace. . Distribute content according to Collection decisions. . Preserve content using accepted preservation techniques. . Notify Collections of significant changes to content, e.g. format migration. . Submission service: Submitters may contact [email protected] to receive help or to inquire about the services offered regarding UPSpace. . Repository service: The University of Pretoria (Dept. of IT in collaboration with the Dept. of Library Services) will provide permanent storage, including appropriate back-up and recovery procedures. . Access service: Maintain an appropriate interface to browse, search, view and download material from the repository, in line with the policy of the University of Pretoria. . System management: The Dept. of IT in collaboration with the Dept. of Library Services will maintain, administer, upgrade and enhance the system and will enhance metadata records providing for better retrieval. When a new version of Dspace becomes available, the system will be migrated to the most recent version. . Code developed and owned by the Dept. of Library Services will be donated to the DSpace Community.
8. Rights of the Department of Library Services
The Dept. of Library Services/UPSpace retains the right to:
. Redistribute or amend metadata for items in UPSpace. . De-accession items or Collections under certain circumstances - as outlined in the "Withdrawal Policy". . Refuse items or collections not within the scope of UPSpace as defined by the content that will be accepted in UPSpace. . Renegotiate terms of original agreement with Collections. . Perform appraisal for long-term archiving when Collections cease to exist or within thirty years of the creation of a Collection. . Move Collections to reflect current agreement between UPSpace and Communities. . Migrate items for preservation purposes or at the Department of Library Service’s discretion. . Map/link between Communities/Collections/Items to guide the user. . Set quotas (size of files, number of items) to determine what constitutes fair use. . Charge a fee for activities requiring extensive centralised support from UPSpace (for example, for a large amount of de-accesssioning).
9. Responsibilities of the University of Pretoria
At the University of Pretoria, the university is expected to:
University of Pretoria 10 UPSpace User Policy Version 2.0.0 4/8/2018 . Be actively committed to the preservation of research material through UPSpace. . Provide support with regard to hardware, manpower, funding. . Set policy at University level regarding issues that affect UPspace, e.g. copyright rules, image requirements, etc. . Support functions mandated by existing policies.
10. Responsibilities of the Library Information Systems & Technology
The Library Unit Information Systems & Technology provides software support with regard to UPSpace, which include the following (See Service Level Agreement Unit Information Systems & Technology):
Software installation and upgrading Projects: Roll-out of Software, Networking and Hardware Supplement or augment in-house technical skills, network administration, project management
Their mission are amongst others to “Interpret the strategic plan of UP and the Library in order to ensure that the necessary IT Infrastructure and programs are available in time to realize the strategies”.
11. Licensing, Copyright, Privacy and Intellectual Property Issues
11.1 UPSpace Distribution License
When submitting an item to UPSpace, the submitter, author/s or copyright owner/s grants non- exclusive distribution rights to the University of Pretoria. This non-exclusive distribution rights in no way prevents an author/s or copyright owner/s from publishing the work in a research journal or distributing it in any other fashion. The author/s or copyright owner/s retains full copyright of the work. It is the responsibility of the submitters to gain copyright clearance where necessary, and to familiarize themselves with the self-archiving policies of the various publishers, nationally and internationally.
When submitting items to UPSpace, please make sure that you adhere to copyright requirements. Ask permission before you archive material on UPSpace, and submit the letter of consent to the UPSpace Letters of Consent Collection (https://www.up.ac.za/dspace/handle/2263/1149) on UPSpace. Use the "Rights" field to refer to the permission that was obtained.
Copyright of Research articles: Policies of many publishers of research articles can be found in the Romeo Project available at http://www.sherpa.ac.uk/romeo.php. If the publisher’s policy is not available on this database, publishers are contacted directly to obtain permission. The letter of consent/ no consent is then archived within the UPSpace Letters of Consent Collection. Publishers are also encouraged to make their policies on self-archiving within institutional repositories available on SHERPA RoMEO. See http://www.sherpa.ac.uk/romeoupdate.php
Where embargoes apply to articles, these articles are submitted and access to the full text is restricted on bitstream level for the duration of the embargo. A note is added to the
University of Pretoria 11 UPSpace User Policy Version 2.0.0 4/8/2018 is done via communication between the Collection Administrator and the IR Manager. Once the embargo expires, the Collection Administrator notifies the IR Manager, who will in turn remove any restrictions to the bitstream.
Access to the UPSpace Letters of Consent Collection is restricted, since permission policies within this collection only applies to permission granted to the University of Pretoria. Apply to be registered as a Submitter with [email protected] .
Copyright of UP Theses & dissertations: It is compulsory for all UP students to submit electronic copies of their theses or dissertations to an online repository (see General Regulation G57.4(i) - page 19). UP holds the copyright for theses and dissertations produced by its members during enrolment at the University of Pretoria.
The University of Pretoria uses the following license agreement in UPSpace:
Non-Exclusive Distribution License
In order for UPSpace to reproduce, translate and distribute your submission worldwide your agreement to the following terms is necessary.
By submitting this license, you (the submitter, author or copyright owner) grant to the University of Pretoria the non-exclusive right to reproduce, translate (as defined below), and/or distribute your submission (including the abstract) worldwide in print and electronic format and in any medium, including but not limited to audio or video. You agree that the University of Pretoria may, without changing the content, translate the submission to any medium or format for the purpose of preservation. You also agree that the University of Pretoria may keep more than one copy of this submission for purposes of security, back-up and preservation. You represent that the submission is your original work, and that you have the right to grant the rights contained in this license. You also represent that your submission does not, to the best of your knowledge, infringe upon anyone's copyright. If the submission contains material for which you do not hold copyright, you represent that you have obtained the unrestricted permission of the copyright owner to grant the University of Pretoria the rights required by this license, and that such third-party owned material is clearly identified and acknowledged within the text or content of the submission. IF THE SUBMISSION IS BASED UPON WORK THAT HAS BEEN SPONSORED OR SUPPORTED BY AN AGENCY OR ORGANIZATION OTHER THAN THE UNIVERSITY OF PRETORIA, YOU REPRESENT THAT YOU HAVE FULFILLED ANY RIGHT OF REVIEW OR OTHER OBLIGATIONS REQUIRED BY SUCH CONTRACT OR AGREEMENT. The University of Pretoria will clearly identify your name(s) as the submitter, author(s) or owner(s) of the submission, and will not make any alteration, other than as allowed by this license, to your submission.
All items in the UPSpace collection are subject to the SA Copyright Act No. 98 of 1978 (as amended) available at http://www.buys.co.za/publications/cyberlaw/CopyrightAct.htm
11.2 UPSpace Privacy Policy
The UPSpace Privacy Policy at the University of Pretoria states that the university is committed to preserving privacy. The personal information the University of Pretoria receives through UPSpace is used solely for purposes of the functioning of the system, and for the specific research purposes as described in the policy document.
This system collects personal information from: 1. Users involved in the submission of UPSpace content and metadata 2. Users who subscribe to the UPSpace alerting service
University of Pretoria 12 UPSpace User Policy Version 2.0.0 4/8/2018 Personal information collected by UPSpace will not be used for any commercial or philanthropic purpose not directly connected with or approved by the University of Pretoria.
We do not disclose information about your individual visits to our site, or personal information that you provide us, such as your name, address, email address, telephone number, etc. to any outside parties except when we believe, in good faith (i) that the law requires it, or (ii) that disclosure is necessary to protect the rights and property of UPSpace users.
12. Services offered through UPSpace
The UPSpace Service will offer a set of core services, available at no charge to Community members and consumers of UPSpace content. Services will be reviewed over time.
UP Space Core Services are comprised of two distinct but interconnected service elements, Interactive Services and Operations Services. UPSpace Interactive Services offer a fully functional system that allows UPSpace Community members and consumers of UPSpace content to accomplish all tasks necessary to submit and access items in UPSpace, as applicable. Additionally, the Dept. of Library Services in collaboration with the Dept. of IT, University of Pretoria provides Operations Services to host and preserve faculty materials, establish and deliver ongoing support for UPSpace Communities, respond to customer inquiries, and supply system monitoring, back up, and recovery.
13. Preservation Policy & Support
13.1 File formats
The University of Pretoria implementation of DSpace/UPSpace attempts to support as many file formats as possible.
UPSpace identifies two levels of digital preservation: bit preservation, and functional preservation.
Bit preservation ensures that a file remains exactly the same over time and not a single bit is changed while the physical media evolve around it.
Functional preservation: the file does change over time so that the material continues to be immediately usable in the same way it was originally while the digital formats (and the physical media) evolve over time. Some file formats can be functionally preserved using straightforward format migration (e.g. TIFF images or XML documents). Other formats are proprietary, or for other reasons are much harder to preserve functionally.
At the University of Pretoria, for the time being, we acknowledge the fact that the formats in which faculty create their research material are not something we can predict or control. Faculties use the tools that are best for their purposes, and we will get whatever formats those tools produce. Because of this UPSpace defines three levels of preservation for a given format: supported, known, or unsupported.
. Supported: The format will be fully supported and preserved using either format migration or emulation techniques.
University of Pretoria 13 UPSpace User Policy Version 2.0.0 4/8/2018 . Known: The format can be recognised by UPSpace, but full support cannot be guaranteed. . Unsupported: The format cannot be recognised by UPSpace; these will be listed as "application/octet-stream", aka Unknown.
When a file is uploaded to UPSpace, it will be assigned to one of those three categories. For all three levels bit-level preservation will be done so that digital archaeologists of the future will have the raw material to work with if the material proves to be worth that effort.
For the full text of text items to be fully searchable in UPSpace, these items must be made available on UPSpace in any of the following formats:
Adobe PDF (only if text-based or OCRed) - without any securities added Microsoft Word Plain Text HTML
13.2 Description Metadata (Administrative, Technical, Preservation)
For preservation purposes - in other words, so that we will still be able to access files submitted to UPSpace in a 100 years time - it is very important to give a description of how the file was created in the "Description" field of the submission form, the origin of the file etc. Also use this field to describe the dimensions of the object, how it was digitized, etc. This kind of information will help information architects of the future to migrate obsolete files to updated versions, so that it will still be accessible long after our time. Any info the submitter can offer, will be of value in such a case. Also see the guidelines in the UPSpace Quick Guide: http://www.dspace.up.ac.za/quickguide.pdf (Updated on 17 March 2008)
Example 1: https://www.up.ac.za/dspace/handle/2263/2273
Description: Black/white wash painting technique. Original canvas size: (w)24.5 x (h)25.0 cm. Original scanned size in pixels: 6312 x 7872 pixels (800 dpi). Final size in pixels: 550 x 436 (150 dpi). Estimate download time: 37 sec @ 28.8 kbps.
Example 2: https://www.up.ac.za/dspace/handle/2263/5220
Description: This paper was transferred from the original CD ROM created for this conference. The material on the CD ROM was published using Adobe Acrobat technology. The original CD ROM was produced by Document Transformation Technologies Postal Address: PO Box 560 Irene 0062 South Africa. Tel.: +27 12 667 2074 Fax: +27 12 667 2766 E-mail: [email protected] URL: http://www.doctech.co.za
13.3 Checksums
For each item submitted to UPSpace a checksum is generated. This checksum is used to verify the integrity of a full text file over time. Therefore replacement of bitstreams will be restricted as far as possible.
To summarise - UP's policy for file formats is:
. Everything put in UPSpace will be retrievable. . As many files formats as possible will be recognised. . As many known file formats as possible will be supported through UPSpace.
University of Pretoria 14 UPSpace User Policy Version 2.0.0 4/8/2018 . Formats and techniques will be continuously monitored to ensure needs can be accommodated as they arise. . The size of a bitstream allowed for submission is currently unlimited, but this will be revised over time. . All files need to be submitted in at least pdf format (open standard, recommended for preservation purposes), and then any additional format. For media files:
Below a list of various file formats in UPSpace:
MIME type Description Extensions Level Application/marc MARC marc, mrc supported Application/mathematica Mathematica ma known Application/msword Microsoft Word doc known (anything not Application/octet-stream Unknown unsupported listed) Application/pdf Adobe PDF pdf supported Application/postscript Postscript ps, eps, ai supported Application/sgml SGML sgm, sgml known Application/vnd.ms-excel Microsoft Excel xls known Microsoft Application/vnd.ms-powerpint ppt known Powerpoint Microsoft mpp, mpx, Application/vnd.ms-project known Project mpd Application/vnd.visio Microsoft Visio vsd known Application/wordperfect5.1 WordPerfect wpd known Application/x-dvi TeXdvi dvi known Application/x-filemaker FMP3 fm known Application/x-latex LateX latex known Application/x-photoshop Photoshop psd, pdd known Application/x-tex TeX tex known audio/x-aiff AIFF aiff, aif, aifc supported audio/basic audio/basic au, snd known mpa, abs, audio/x-mpeg MPEG Audio known mpeg audio/x-pn-realaudio RealAudio Ra, ram known audio/x-wav WAV wav known image/gif GIF gif supported image/jpeg JPEG jpeg, jpg supported image/png PNG png supported image/tiff TIFF tiff, tif supported image/x-ms-bmp BMP bmp known
University of Pretoria 15 UPSpace User Policy Version 2.0.0 4/8/2018 image/x-photo-cd Photo CD pcd known text/html HTML html, htm supported text/plain Text txt supported Rich Text text/richtext rtf supported Format text/xml XML xml supported mpeg, mpg, video/mpeg MPEG known mpe Video video/quicktime mov, qt known Quicktime
14. Withdrawal Policy
It is foreseen that sometimes it may be necessary to remove items from the repository. Under some circumstances items will be removed from view (withdrawn), but to avoid loss of the historical record, all such transactions will be traced in the form of a note in the
" removed from view at request of the author" " removed from view at the library's discretion" " removed from view at UP's discretion" " removed from view by legal order"
Since any repository item that has existed at some time may have been cited, we will always supply a “tombstone” when the item is requested, which will provide a withdrawal statement in place of the link to the object. The metadata should be visible, but not searchable. These items will be made unavailable for metadata harvesting.
Items to be finally deleted (expunged) from the system will be considered on a case-by-case basis.
15. Workflow Policy
The University of Pretoria recognizes that Communities (schools/faculties) have very different ideas as to how material should be submitted to UPSpace, by whom, and with what restrictions. The following are issues that should be addressed by the Community representatives (administrators), working together with the UPSpace Platform Manager, and are then modeled in a workflow for each collection to enforce their decisions.
. Who can deposit items? . What type of items will they deposit? . Who else needs to review, enhance, or approve the submission? . To what collections can they deposit material? . Who can see the items once deposited? . What metadata fields should be included on the Submission User Interface for specific Collections? Will it be the default DSpace Submission user interface, or a customised interface for that specific Collection?
University of Pretoria 16 UPSpace User Policy Version 2.0.0 4/8/2018 15.1 UPSpace Roles
The system has the notion of e-people who have roles in the workflow of a particular Community in the context of a given collection. Individuals from the Community are automatically registered with UPSpace via the UP Portal (after authentication against the LDAP Server), then manually assigned to appropriate roles.
There are three possible roles in UPSpace as part of the workflow process: submitter, reviewer, and metadata editor. An e-mail message is sent to each person at the appropriate step in the workflow, with authorizations set up in advance for each role. We are committed towards processing items within a period of six working days. UPSpace responsibilities are formally part of the role descriptions of all Cataloguers (Metadata Editors) and Information Specialists (Collection Administrators) at UP libraries.
Submitter permissions - Can edit metadata for own submission - Can upload files for own submission - Cannot do anything once item is submitted Reviewer permissions - Can review content of all files submitted to collection (optional) - Can edit baseline metadata of all items - Can accept or reject all submissions to collection - Can send a message explaining decision - Rejection will stop submission. Possible reasons: duplicates, item does not adhere to UPSpace policy/ collection policy, incorrect version of file/ file naming, formatting incorrect, etc. - Acceptance will let submission go to next step - Can edit metadata of all submissions to collection (Cannot change files) Metadata Editor - Can edit metadata of all submissions to collection permissions - Add LCSH to each item submitted (optional) - Submission automatically becomes part of DSpace after this step - (Any approval would have happened before) Collection - Primary responsibility to communicate to departments Administrator - Identify opportunities permissions - Monitor activities within Collections - Create Item Template in collaboration with Metadata Editor - Update Collection Home Page
University of Pretoria 17 UPSpace User Policy Version 2.0.0 4/8/2018 15.2 Workflow
Below a demonstration of the UPSpace automated workflow:
Copyright clearance Research articles: openUP All other: UP Copyright Officer
Digital format Prepare document & digitize if not born digital
Submitter submits Information Specialists/ Research Assistants/ Researchers/Other Reject if it doesn’t adhere to policy
Reviewer Collection Administrator/ Subject Expert
Metadata Editor Library Cataloguer
Available on UPSpace
UPSpace Manager = Ina Smith; Collection Manager = Faculty Library Manager; Collection Administrator = Information Specialist Digitization & Metadata Specialists play an advisory role in Digitization & Metadata Editing processes
University of Pretoria 18 UPSpace User Policy Version 2.0.0 4/8/2018 16. Persistent Identifiers in UPSpace
UPSpace uses the Handle System from CNRI to assign and resolve persistent identifiers for each and every digital item. Handles are URN-compliant identifiers, and the Handle resolver is an open- source system which is used in conjunction with the DSpace (UPSpace) system.
Handles in DSpace are currently implemented as URLs, but can also be modified to work with future protocols. Additional development work would be required to adopt some other form of persistent identifiers.
When citing items within the repository, end-users are required to use the persistent URL as indicated on the Item Display of each item.
17. Metadata Standards
Submitters can access UPSpace via the UP Portal, metadata can be entered into UPSpace, stored in the database, indexed appropriately, and made searchable through the public UPSpace UI. At the present time, this applies mainly to descriptive metadata, although as standards emerge it could also include technical, rights, preservation, structural and behavioral metadata.
Currently DSpace supports only the Dublin Core metadata element set.
UPSpace has been registered with OAISTER (http://oaister.umdl.umich.edu/o/oaister/ ), a metadata harvester harvesting the digital resources of an institution like the University of Pretoria. Through OAISTER freely available, previously difficult-to-access, academically-oriented digital resources that are easily searchable by anyone will be made available to the rest of the world.
Metadata from items are also retrievable via Google and GoogleScholar, and the repository has been registered with the following:
Institutional Archive Registry DSpace Open Archives Institute openDOAR ROAR Scirus Wikipedia UP Dept of Research UP Library Catalogue
A Metadata Specialist has been assigned. This person has the responsibility to monitor the overall quality of metadata within UPSpace, and plays and advisory role with regard to metadata decisions. The Metadata Specialist has rights to editing the metadata of any item within the repository.
LCSH’s are assigned to each item within the repository. Rationale for assigning LCSH’s: For retrieval purposes it is very important to group material that belongs together by assigning responding keywords or subjects. This is even more important within a digital environment. The reason being that one should be able to create a hyperlink to a search result in UPSpace, based on certain search criteria.
University of Pretoria 19 UPSpace User Policy Version 2.0.0 4/8/2018 18. Provenance data tracked by UPSpace
The following data is tracked by the system:
. Creation of item, collection, or community . Changes re accessibility, format, organizational (per item, per collection and per community) . Withdrawal of item, collection, or community
19. Authentication in UPSpace
Browsing and downloading items from UPSpace is open to the WWW Community, unless access to an individual Community, Collection or Item is restricted to registered users only. Restriction to a specific Community/Collection will be indicated on the home page of that specific Collection/Community, and to a file (bitstream) in the Description metadata field.
The University of Pretoria uses the following user authentication rules in order for users to be able to submit items to UPSpace:
. Access is gained via the UP Portal, using the personnel no. (Username) and e-mail password (Password) aka as the e-mail username and password. . E-persons are authenticated against the LDAP Server of the University of Pretoria, against the e-mail registered for that person on the LDAP Server. . Non-UP people will have to apply for permission to submit.
Passwords can be edited at http://mx1.up.ac.za. Remember to frequently change your password for security purposes. Inquiries: IT Help +27 12 420 3082
20. Service Level Agreements re System Availability & System Backup
The backup of the UPSpace System is the responsibility of the Dept. of IT, University of Pretoria. Back-up’s of the UPSpace system (all data, incl. the databasis, bitstreams and metadata) are done on and off campus.
Master copies of archival material (i.e. unique material after being digitized) are stored on the Archival Server, in tiff format.
Details of the UPSpace Production Server: w3.up.ac.za (Sun): Dual Intel(R) Xeon(TM) CPU 3.20GHz, 4GB Memory
The software, metadata, and bitstreams are stored across 3 file systems on this serverSize: 405G.
21. Communication ePersons and other UPSpace members are encouraged to make use of the internal UPSpace mailing list: [email protected]
University of Pretoria 20 UPSpace User Policy Version 2.0.0 4/8/2018 Ground rules for this mailing list
1. Mail to the group should be of broad interest to the group as a whole. 2. Please be conscientious of the volume of mail posted. Send personal mail directly to the person concerned. 3. No flaming! Any messages of complaint about another subscriber should be sent directly to that person or to the list administrator: [email protected] . 4. The writings and opinions posted to the mailing list are strictly the opinions of the writer and do not contain any endorsements or guarantees of any kind, unless otherwise noted. 5. Postings that could be construed as defamatory, libelous, or offensive to individuals, organizations, or institutions should not be posted to this list. 6. Membership on this list constitutes an undertaking to abide by these ground rules and to be considerate of other members when posting mail to the list.
Owner & Administrator: IR Manager
For direct e-mail communication:
All UPSpace Inquiries/ Requests Ina Smith [email protected] or [email protected] Tel.: 012 420 3082
Metadata Inquiries Amelia Breytenbach [email protected] Tel.: 012 529 8391
Digitization Inquiries Ria Groenewald [email protected] Tel.: 012 420 3792
Copyright Inquiries (incl. Copyright Clearance) Copyright Officer (For all material, except journal articles) Jacob Mothutsi [email protected] Tel.: 012 420 5452
Journal Articles Elsabé Olivier [email protected] Tel.: 012 420 3719
22. UPSpace Wishlist
Requests for improvement/changes re UPSpace can be posted to the following wishlist. URL: http://upspacewishlist.wikispaces.com/
University of Pretoria 21 UPSpace User Policy Version 2.0.0 4/8/2018 Bibliography
DSpace Policy Planning. Retrieved April 22, 2005, from http://dspace.org/implement/policy- planning.html
Lynch, C.A. (2003, February). Institutional repositories: essential infrastructure for scholarship in the digital age. ARL, 226. Retrieved April 22, 2005, from http://www.arl.org/newsltr/226/ir.html
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