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UNT Libraries: TRAC Conformance Document Date: October 2015 ​ Version: 1.0 ​ Contributors: Mark Phillips Assistant Dean for Digital Libraries ​ Hannah Tarver Department Head, Digital Projects Unit ​ Ana Krahmer Supervisor, Digital Newspaper Unit ​ Daniel Alemneh Supervisor, Digital Curation Unit ​ Laura Waugh Repository Librarian for Scholarly Works ​ This work is licensed under a Creative Commons Attribution 4.0 International License. Table of Contents Table of Contents Introduction Background TRAC or ISO 16363 How We Expect this Document to be Used Section A: Organizational Infrastructure ​ Section B: Digital Object Management ​ Section C: Technologies, Technical Infrastructure, and Security Appendices Introduction The UNT Libraries: TRAC Conformance Document is designed to supplement and provide extended reference to the UNT Libraries’ TRAC Audit Checklist (Appendix A), which outlines the requirements of a Trusted Digital Repository. The self­assessment of the UNT Libraries and its Digital Collections encompasses an evaluation of its associated policies, procedures, workflows, modelling, and technical infrastructure in the TRAC audit process. Background Activities related to Web archiving, digitization, and digital object management started at the University of North Texas (UNT) Libraries in the early 2000s. Those initiatives have grown over time, resulting in a large online collection and a number of departments largely or solely responsible for activities to support the Digital Collections. The Digital Collections The UNT Libraries host and actively facilitate collection of digital materials for the Digital Collections, which comprise three public­facing interfaces: the UNT Digital Library, The Portal to Texas History, and The Gateway to Oklahoma History. The Digital Library (http://digital.library.unt.edu) contains materials owned or licensed by the Libraries or university ​ ​ entities, and items created by the UNT Extended Community (faculty, staff, students, and administrators) including scholarly materials. The Portal (http://texashistory.unt.edu) is ​ ​ collaborative and contains materials from collections owned by more than 300 partner institutions across the state of Texas. The Gateway (http://gateway.okhistory.org) contains ​ ​ materials owned by the Oklahoma Historical Society, primarily newspapers and photographs. Administratively, as many of the processes as possible are uniform across collections and material types. All items in the Digital Collections reside in a single infrastructure, built in­house from open source components. Archival files and technical/administrative metadata are stored in the Coda repository; Web derivatives and descriptive metadata are put in the Aubrey access system. Automated processes package, verify, and deposit all digital files for these systems. Descriptive metadata is also standardized for the Digital Collections. All items are described using the same twenty­one locally­modified Dublin Core metadata fields. This metadata is stored in a local (UNTL) format, but is also available as normalized Dublin Core. The UNT Libraries supports the Digital Collections to uphold a commitment to their various designated communities. As a program within UNT, the materials support research and scholarship for persons directly associated with the university, but also make the scholarship of UNT available to the wider public. Additionally, materials support the services offered by partner institutions and provide worldwide access to their submitted content. 1 At the time of this writing, more than 1.4 million items (nearly 163 million files) are archived in the Digital Collections; roughly 4% are not yet visible, awaiting metadata completion. The UNT Libraries provide the widest access possible, based on collection requirements and licensing and restrictions. A majority of items are completely unrestricted and can be viewed (or played) by any member of the public. Around 1% of visible items are restricted in various ways, generally to use by current UNT community members. UNT Libraries Staff Development and maintenance of the Digital Collections infrastructure and content is managed within the UNT Libraries by the Digital Libraries Division, with support from the Facilities and Systems Division (see organizational chart below). Summary of the groups directly involved and their primary related activities: ● User Interfaces Unit ­ Involved in the design of Aubrey interfaces for public access and ​ metadata editing ● Digital Curation ­ Manages the processing of born­digital materials for inclusion in the ​ Digital Collections ● Digital Projects Lab ­ Digitizes a variety of materials on flatbed and duplex scanners ​ and creates descriptive metadata for the collections ● Digital Newspapers ­ Handles digitization, processing, and description of newspapers ​ in physical, microfilm, and born­digital formats ● Software Development ­ Develop and maintains components of the archival (Coda) ​ and access (Aubrey) infrastructure ● Technology and Computer Operations (TACO) ­ Provides hardware and software ​ support for Digital Libraries activities ● External Relations ­ Liaises with external partners to collect content and to promote the ​ Digital Collections to user communities This document references specific responsibilities and activities of these groups when relevant. 2 TRAC or ISO 16363 Several organizations worked together to develop the Trusted Repository Audit Checklist (TRAC) process ­­ including OCLC, the U.S. National Archives and Records Commission (NARA), and the Center for Research Libraries ­­ as a way of evaluating various aspects of repositories to determine if they meet expectations for long­term planning and preservation of their materials. The TRAC documentation is built around the Open Archival Information System (OAIS) reference model that expresses a framework for a repository to ingest, store, and share materials. Formal TRAC audits are administered by the Center for Research Libraries (CRL), though they have also released various tools for organizations that want to perform a self­audit. Additionally, the International Standards Organization (ISO) started developing a similar metric for determining trustworthiness that could be adopted as an international standard. ISO16363 reached a semi­final “Magenta Book” stage in 2011 and essentially supersedes the TRAC process, though auditing bodies must be certified using guidelines of ISO 16919:2014 (Requirements for Bodies providing Audit and Certification) and it may be some time before the ​ ​ process is fully articulated or available to interested repositories. 3 The UNT Evaluation For our process, we chose to use TRAC because more information is readily available, and because other institutions that have completed the TRAC process have posted their documentation, creating a body of examples to use as reference material. Although ISO16363 will likely be considered the “gold standard” going forward, the documentation and work to show TRAC compliance is not mutually exclusive with the ISO standard. The UNT Libraries’ Digital Libraries Division out of the University of North Texas (UNT) collaborated with the University of Florida to prepare documentation for a TRAC self­audit and to design a process for cross­institutional, peer review of TRAC compliance. Multiple groups have been involved at UNT, particularly in the Digital Libraries Division, in developing the documentation necessary to fulfill the requirements of the TRAC Audit Checklist and TRAC Conformance Document. How We Expect this Document to be Used This document was developed to track and evaluate current practices at the UNT Libraries that support the Digital Collections. In this document, we have made a conscious effort to respond each of the sections of the TRAC criteria. The ultimate goal of this document is to provide supportive documentation about the UNT Libraries’ Digital Collections that addresses questions about the policies, processes, technologies, models, and practices of the repository. 4 Section A: Organizational Infrastructure A number of policies and documents govern the organizational infrastructure of the UNT Libraries’ Digital Collections and the staff who manage the resources. University of North Texas Policies (http://policy.unt.edu/) ​ ● Faculty Appointment and Granting of Tenure (15.0): http://policy.unt.edu/policy­by­number/continue/15 ● Staff Development/Performance Planning and Review (1.7.3): http://policy.unt.edu/policy­by­number/1 University of North Texas Libraries Policies (https://www.library.unt.edu/policies) ​ ​ ​ ● UNT Libraries’ Digital Preservation Policy Framework (Appendix H) ● UNT Libraries’ Digital Collections Usage and Feedback Policy (Appendix J) ● Collection Development Policy for the UNT Libraries’ Digital Collections (Appendix C) ● Locally Created Cataloging and Metadata Records Rights Policy UNT Libraries Digital Libraries Division Documentation ● Division website: https://www.library.unt.edu/digital­libraries ​ ● Staff directory: https://www.library.unt.edu/staff­directory/department/digital­libraries ​ ● Information about partnering with the Digital Collections: http://www.library.unt.edu/digital­projects­unit/about­partnering UNT Libraries Digital Libraries Partnership Agreements ● Standard Partnership Agreement (Appendix D) ● Portal­branded Memorandum of Agreement for Digital Rights (Appendix E) ● Digital Library­branded Memorandum of Agreement for Digital Rights (Appendix F) A1.1 Repository has a mission statement that

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