Implications of Capture and Preservation of Scholarly and Administrative Information The Need for...

Implications of Capture Implications of Capture and Preservation of and Preservation of

Scholarly and Scholarly and Administrative Administrative

InformationInformation

The Need for Collaborative The Need for Collaborative Enterprise Policy DevelopmentEnterprise Policy Development

CNI Spring Task Force, April 15, 2004

University of KansasUniversity of KansasCNI Spring Task Force, April 15, 2004

Copyright StatementCopyright Statement

Copyright, Marilu Goodyear, Deb Ludwig, Richard C. Fyffe and Beth Forrest Warner, 2004. This work is the intellectual property of the authors. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the authors. To disseminate otherwise or to republish requires written permission from the authors.


Presenters: University of Presenters: University of KansasKansas

Marilu GoodyearMarilu GoodyearVice Provost for Information Services, & CIOVice Provost for Information Services, & CIO

Beth Forrest WarnerBeth Forrest WarnerAsst. Vice Provost for Information ServicesAsst. Vice Provost for Information Services

Deb Ludwig Deb Ludwig Director, Enterprise Academic SystemsDirector, Enterprise Academic Systems

Richard Fyffe Richard Fyffe Asst. Dean for Scholarly Communications, LibrariesAsst. Dean for Scholarly Communications, Libraries


Today’s Shifting FocusToday’s Shifting Focus

Focus on “Information Age” Focus on “Information Age”

shifting toward focus on the shifting toward focus on the

““Informed Age”Informed Age”


Key ConceptKey Concept

Information and Knowledge Information and Knowledge

are the are the

Fuel Driving the UniversityFuel Driving the University


Information Services @ Information Services @ KUKU

• Key player on campus in responding Key player on campus in responding to / helping shape this change in to / helping shape this change in focusfocus

• Help the University community Help the University community leverage information / knowledge: leverage information / knowledge: make the “best use” of itmake the “best use” of it


Information Services @ Information Services @ KUKU

Our Role:Our Role: Provide systems and services Provide systems and services to scholars, students and decision-to scholars, students and decision-makers to help them create, access, makers to help them create, access, use, distribute, and preserve information use, distribute, and preserve information and knowledgeand knowledge


Information / Knowledge Information / Knowledge ProcessesProcesses

• CreateCreate• AccessAccess• RetrieveRetrieve• UseUse• AnalyzeAnalyze• ConvertConvert

• ManipulateManipulate• Distribute or disseminateDistribute or disseminate• CommunicateCommunicate• PreservePreserve

– PrintPrint– DigitalDigital


IS Systems and ServicesIS Systems and Services

• TechnologyTechnology– NetworkNetwork– SystemsSystems– ServicesServices

• ContentContent• Human ResourcesHuman Resources

– Expert StaffExpert Staff

• Spaces to do intellectual work and Spaces to do intellectual work and collaborationcollaboration


Impact of Shifting Impact of Shifting Information Life-CycleInformation Life-Cycle

• Shift toward focus on digital formats resulting Shift toward focus on digital formats resulting in need to re-examine information life-cyclein need to re-examine information life-cycle

• Critical to understanding methods for digital Critical to understanding methods for digital asset managementasset management

• Key to defining the “points of influence” for Key to defining the “points of influence” for preserving digital assetspreserving digital assets

• Outcome:Outcome:– Must move management processes “upstream” to Must move management processes “upstream” to

the point of information creationthe point of information creation– New services, procedures, and policies neededNew services, procedures, and policies needed


IS Strategic Planning @ IS Strategic Planning @ KUKU

• Need to move Need to move pastpast the dual concepts of: the dual concepts of:– Library information managementLibrary information management– Information technology provisioningInformation technology provisioning

• Need to move Need to move toto the concept of the concept of Information Services as a truly Information Services as a truly integrated serviceintegrated service– ““Information-centric” service delivery Information-centric” service delivery

models, not “unit-centric” models models, not “unit-centric” models


IS Strategic Planning @ IS Strategic Planning @ KUKU

• To more strategically fulfill our role:To more strategically fulfill our role:– planning efforts must be very collaborative planning efforts must be very collaborative

with our user / client communitywith our user / client community– our response to planning must be rapidour response to planning must be rapid


New IS Strategic New IS Strategic InitiativesInitiatives

• HVCHVC22: : High Velocity Change through High Volume High Velocity Change through High Volume CollaborationCollaboration– Collaborative learning spacesCollaborative learning spaces - improving campus learning - improving campus learning

centers by better integrating print and electronic resources; centers by better integrating print and electronic resources; – Quality of Service modelsQuality of Service models for students, scholars, and decision for students, scholars, and decision

makers - designing new service models &delivery methods;makers - designing new service models &delivery methods;– Digital preservationDigital preservation - preserving digital resources in - preserving digital resources in

administrative, instruction, and scholarly research areasadministrative, instruction, and scholarly research areas

• Effective IS Organizational StructureEffective IS Organizational Structure• Institutional Repository: Institutional Repository: KU ScholarworksKU Scholarworks


HVCHVC22: Focus on Digital : Focus on Digital AssetsAssets

• Through collaborative discussion, help define Through collaborative discussion, help define the role of university leaders in digital asset the role of university leaders in digital asset managementmanagement– Information Services leadersInformation Services leaders– Academic leadersAcademic leaders– Administrative leadersAdministrative leaders– Creators (faculty and students) Creators (faculty and students)

• Help facilitate campus-wide planning and Help facilitate campus-wide planning and policy developmentpolicy development


Managing KU’s Digital Managing KU’s Digital AssetsAssets

• HVCHVC22 Digital Preservation Task Digital Preservation Task ForceForce

• Information Services Information Services ReorganizationReorganization


HVCHVC22 Digital Preservation Digital Preservation TFTF

Explore the implications of the University Explore the implications of the University commitment to the preservation of digital commitment to the preservation of digital resources, both administrative and academic, resources, both administrative and academic, along with the information services along with the information services infrastructure (organizational, technical, infrastructure (organizational, technical, policy, financial) suitable for carrying forward policy, financial) suitable for carrying forward this commitmentthis commitment


Goals of the Task ForceGoals of the Task Force

• Define what “digital preservation” means in the context of University commitment and stewardship.

• Describe the Lawrence campus’s current digital preservation structures and strategies.

• Identify existing and potential University digital assets, apart from systems in which these assets currently reside.

• Recommend whether the University should have a process to select the assets (by type or instance) for which the University will (and will not) take responsibility. What criteria should be factored into such a process? What special considerations apply to digital assets that are solely under the control of individual faculty or students?


Goals of the Task Force Goals of the Task Force (cont)(cont)

• Explore implications of that stewardship for information services infrastructure (organizational, technical, policy, financial).

• Define the characteristics of the digital preservation infrastructure needed by the University to meet the goals defined in goal 1.

• Define and understand the University strategy (current and future) for digital records management, data warehouse infrastructure, the Digital Library institutional repository (KUScholarWorks), and other digital resources.


University Digital Assets University Digital Assets DefinedDefined

The HVC2 Digital Preservation Group’s Initial Definition:The HVC2 Digital Preservation Group’s Initial Definition:• Information objects that are digitally encodedInformation objects that are digitally encoded• Created to fulfill the research, teaching, or creative Created to fulfill the research, teaching, or creative

work of University faculty, staff, or studentswork of University faculty, staff, or students• Integrated with metadataIntegrated with metadata• Exist in a variety of formatsExist in a variety of formats • Have the potential to be needed and used apart from Have the potential to be needed and used apart from

their relationship to particular systems or applicationstheir relationship to particular systems or applications• May require preservation … but not necessarily May require preservation … but not necessarily


Managing KU’s Digital Managing KU’s Digital Assets: Assets: Broad GoalsBroad Goals

• Re-align and Develop the Information Re-align and Develop the Information Services OrganizationServices Organization

• Understand our InformationUnderstand our Information• Develop Information & Technology Develop Information & Technology

ArchitecturesArchitectures• Develop Appropriate ToolsDevelop Appropriate Tools


Re-align the Information Re-align the Information Services OrganizationServices Organization

• Recognize the reason we exist - informationRecognize the reason we exist - information• Address the complexity of information within a Address the complexity of information within a

framework that delineates responsibilities for framework that delineates responsibilities for applications, content or digital assets, and applications, content or digital assets, and operational platformsoperational platforms

• Recognize the importance of data Recognize the importance of data stewardshipstewardship


Understanding Our Understanding Our InformationInformation

• What it isWhat it is• Where it residesWhere it resides• How it flowsHow it flows• How it interrelatesHow it interrelates• How it is used and whyHow it is used and why


Develop Information / Develop Information / Technology ArchitecturesTechnology Architectures

• Foster exchange of data through gateways rather Foster exchange of data through gateways rather than replicationthan replication

• Provide access to the data that decision-makers need Provide access to the data that decision-makers need for answering questions, solving problems, and for answering questions, solving problems, and analyzing trendsanalyzing trends

• Honor the needs for confidentiality of data and Honor the needs for confidentiality of data and selective accessselective access

• Know the shelf life requirements and preservation Know the shelf life requirements and preservation needs of University digital assetsneeds of University digital assets


Develop the Tools Develop the Tools

• Content creationContent creation• Lifecycle managementLifecycle management• Access & useAccess & use• Exchange through gatewaysExchange through gateways


Addressing Scholarly Addressing Scholarly InformationInformation

KU ScholarworksKU Scholarworks


KU ScholarWorksKU ScholarWorks

• ““A repository of scholarship created by faculty A repository of scholarship created by faculty and staff at the University of Kansas.”and staff at the University of Kansas.”

• Goals include dissemination and preservation Goals include dissemination and preservation (“enduring access”)(“enduring access”)

• Platform: DSpace 1.1.1Platform: DSpace 1.1.1• Pilot phase started in September 2003Pilot phase started in September 2003• https://kuscholarworks.ku.eduhttps://kuscholarworks.ku.edu

https://kuscholarworks.ku.edu/


KU ScholarWorks KU ScholarWorks Development: Phase 1Development: Phase 1

• System Implementation (summer 2003)System Implementation (summer 2003)• Policy Analysis: developed an analytical Policy Analysis: developed an analytical

framework to identify key policy questions and framework to identify key policy questions and implications (summer 2003)implications (summer 2003)

• Recruitment of early adopters for feedback on Recruitment of early adopters for feedback on interface and policy issues (fall 2003)interface and policy issues (fall 2003)– Teaching faculty in diverse disciplines invited to Teaching faculty in diverse disciplines invited to

test and critiquetest and critique– Conversations with selected faculty, deans, and Conversations with selected faculty, deans, and

Research Center directorsResearch Center directors


KU ScholarWorks KU ScholarWorks Development: Phase 2Development: Phase 2

• Evaluation (January-February 2004)Evaluation (January-February 2004)– Interviews with early adopters on basic Interviews with early adopters on basic

functionalityfunctionality– Focus group with grant PI’s on dissemination Focus group with grant PI’s on dissemination

needsneeds– Focus group with early adopters on policy issuesFocus group with early adopters on policy issues

• Framework distributed beforehand with questions, Framework distributed beforehand with questions, possible responses, and rationale/implications.possible responses, and rationale/implications.


KU ScholarWorks KU ScholarWorks Development: Policy Development: Policy FrameworkFramework

1) 1) How Should the Repository Be How Should the Repository Be Organized?Organized? – By community?By community?– By subject or topic?By subject or topic?– ByBy both community and subject? both community and subject?



2) 2) Who May Contribute to the Repository?Who May Contribute to the Repository?– Which current members of KU should be Which current members of KU should be

eligible to contribute content? (Faculty, eligible to contribute content? (Faculty, graduate students, collaborators from other graduate students, collaborators from other institutions?)institutions?)

– Should individuals be able to contribute on Should individuals be able to contribute on their own or only as members of a formal their own or only as members of a formal community?community?



3) 3) Who Will Decide Which Specific Items Who Will Decide Which Specific Items Can Go Into the Repository?Can Go Into the Repository? – Should there be a review process or will authorized Should there be a review process or will authorized

individuals post content at their own discretion?individuals post content at their own discretion?– Should different requirements for review be set for Should different requirements for review be set for

different types of contributors (faculty vs. graduate different types of contributors (faculty vs. graduate students, e.g.)?students, e.g.)?

– Who should review contributions?Who should review contributions?– Would inclusion of a document imply KU Would inclusion of a document imply KU

endorsement?endorsement?



4) 4) What Kinds of Content Should be What Kinds of Content Should be Included?Included? – Curricular materials?Curricular materials?– Student projects?Student projects?– Citations without texts?Citations without texts?



5) 5) What Restrictions Should be Allowed What Restrictions Should be Allowed on Access to the Content and on the on Access to the Content and on the Kinds of Use that May be Permitted?Kinds of Use that May be Permitted? – Contributor only?Contributor only?– Department/school only?Department/school only?– KU only?KU only?– Specific users defined by the contributor?Specific users defined by the contributor?– Creative Commons approach to granting Creative Commons approach to granting

usage rights?usage rights?



6) 6) Should Withdrawal of Posted Content Should Withdrawal of Posted Content be Permitted? be Permitted? – May materials ever be withdrawn? May materials ever be withdrawn?

(Repository as archive vs. working space)(Repository as archive vs. working space)– How would withdrawal decisions be made?How would withdrawal decisions be made?– Who would authorize withdrawal?Who would authorize withdrawal?



7) 7) Should Formal Training Be Required Should Formal Training Be Required Before the Repository Can be Used by Before the Repository Can be Used by an Individual or a Community?an Individual or a Community?


KU ScholarWorks KU ScholarWorks Development: Early Development: Early ObservationsObservations

• Scholarly practices differ across Scholarly practices differ across disciplines and subdisciplinesdisciplines and subdisciplines

• Academic departments are not natural Academic departments are not natural epistemic communitiesepistemic communities

• Epistemic communities are dynamic Epistemic communities are dynamic while archival systems assume stabilitywhile archival systems assume stability


KU ScholarWorks KU ScholarWorks Development: Key User Development: Key User IssuesIssues

• Community-based structure vs. “open deposit”Community-based structure vs. “open deposit”• Governance and decision-makingGovernance and decision-making• ““Controversial” contentControversial” content• Representing hierarchy within communitiesRepresenting hierarchy within communities• Modification / withdrawal of contributionsModification / withdrawal of contributions• Intellectual property:Intellectual property:

• Impact on future publicationImpact on future publication• Impact of prior publication on use in the repositoryImpact of prior publication on use in the repository


KU ScholarWorks KU ScholarWorks Development: Development: Phase 3Phase 3

• Plan to implement DSpace 1.2 spring/summer Plan to implement DSpace 1.2 spring/summer 2004 for university-wide use by September 2004 for university-wide use by September 20042004

• Will probably form a Policy Advisory Committee Will probably form a Policy Advisory Committee to set central policy on:to set central policy on:– Access restrictionsAccess restrictions– Withdrawal of content/versionsWithdrawal of content/versions– Text of Author LicenseText of Author License– Guidelines on posting previously published workGuidelines on posting previously published work


KU ScholarWorks Development: KU ScholarWorks Development: Phase 3 (Toward a Hybrid Phase 3 (Toward a Hybrid Organization)Organization)

• ““Ad-hoc” Communities:Ad-hoc” Communities:– Defined by communities of interestDefined by communities of interest– Will set internal policies for contributors and review protocolsWill set internal policies for contributors and review protocols

• Formal Communities:Formal Communities:– Will mirror KU administrative structureWill mirror KU administrative structure– Will set internal policies for contributors and review protocolsWill set internal policies for contributors and review protocols

• Subject Communities:Subject Communities:– ““Open deposit” for all facultyOpen deposit” for all faculty– Pre-determined taxonomyPre-determined taxonomy– Policies set centrallyPolicies set centrally


KU ScholarWorks Development: KU ScholarWorks Development: Reflections on Collaborative Policy Reflections on Collaborative Policy DevelopmentDevelopment

• Weaknesses:Weaknesses:– The process is slower and more labor-intensiveThe process is slower and more labor-intensive– Faculty time and attention are limitedFaculty time and attention are limited

• Strengths:Strengths:– Encourages faculty “ownership” of the programEncourages faculty “ownership” of the program– Positions us to respond to innovative uses of the Positions us to respond to innovative uses of the

systemsystem– Maintains tie between processes of creation and Maintains tie between processes of creation and

preservationpreservation


Collaborative Policy Collaborative Policy Development for Digital Asset Development for Digital Asset Management Management

• Effective Digital Asset Management is a Campus Effective Digital Asset Management is a Campus IssueIssue

• Critical for IS to develop organizational structures and Critical for IS to develop organizational structures and processes toprocesses to– Respond quickly to new user needs, new technologiesRespond quickly to new user needs, new technologies– Maintain long-term perspective for digital asset Maintain long-term perspective for digital asset

management / data stewardshipmanagement / data stewardship

• IS must be central player in framing background and IS must be central player in framing background and issues for policy developmentissues for policy development

• Critical to involve campus in substantive policy Critical to involve campus in substantive policy discussions within that frameworkdiscussions within that framework


Questions?Questions?

Marilu Goodyear [email protected] Warner [email protected] Fyffe [email protected] Ludwig [email protected]

Information Services,Information Services,University of KansasUniversity of Kansas

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