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IDEALS Home > About IDEALS > Policies and Guidelines
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IDEALS Policies and Guidelines The following are policies and guidelines for various aspects of depositing material and managing IDEALS. Many of these are also available as a standalone pdf within IDEALS. All policies are subject to change as IDEALS is further developed. IDEALS Collection Policy (back to top) Last Revised March 2007. PDF version available: http://hdl.handle.net/2142/7 The Illinois Digital Environment for Access to Learning and Scholarship (IDEALS) is the institutional repository at the University of Illinois at Urbana-Champaign. IDEALS is a set of collections and related services that centralizes, preserves and provides persistent and reliable access to the research output of academic staff and students at the UIUC campus and is a joint initiative of the University Library and CITES. In common with all institutional repositories, it holds accessible digital content, is community-driven and focused, is supported by the institution, and is both durable and permanent. IDEALS serves to complement traditional publishing outlets such as refereed articles and conference papers, as well as provide the opportunity to capture emerging research and the intellectual environment of the campus. This collection policy document provides a general framework against which current and future collection decisions can be made. It is intended to be a dynamic and flexible document, responsive to changes in the academic environment and attentive to the work of other campus units and programs such as the University Archives and Compass. The Library and CITES expect to stage the growth of the collections in IDEALS in a scalable manner, but remain open to opportunities to add content as they present themselves. Content The collection will focus on deposits of electronic research and scholarship, as well as materials that primarily reflect the intellectual environment of the campus, by academic staff, students and (where appropriate) general staff of the University of Illinois at Urbana-Champaign. Contributors may include non-affiliated scholars if they are co-authoring with UIUC authors or are affiliated closely with the University, e.g., are emeritus professors, Survey personnel, or hold honorary appointments. Examples of possible content to be deposited are:
Some items may not currently be accepted for deposit into IDEALS. Reasons for not accepting include:
Quality Control In most cases quality control will be handled at the community or collection level. In most cases, a community will be administered by an organizational unit that can determine its own workflows and collection policies so long as they fit within the general collection policy of IDEALS. In the case where a community/collection is not administered by a specific organizational unit, a small group of staff within the University Library will take responsibility for vetting the submissions. This is currently the case for the UIUC Research and Scholarship community (http://www.ideals.uiuc.edu/handle/2142/8). Formats IDEALS provides ongoing support for as many file formats as possible with the institutional resources that are available. Works deposited in the institutional repository will be preserved using best practices for data management and digital preservation. The proprietary or executable nature of some file formats, however, may make it impossible to guarantee persistent access to all deposited works as digital technologies evolve. See the IDEALS Preservation Policy for more specific information on preservation policies and categories of support for file formats. Managing and Accessing Objects in the Archive (Required Metadata) A baseline set of metadata is defined for each type of work to be deposited in IDEALS. Use of the required metadata elements will facilitate user access to archived works and provide the information needed to support ongoing access rights management and preservation activities. See the IDEALS Metadata Policy for requirements and recommendations for metadata. Copyright, Intellectual Property and Digital Rights Issues The institutional repository relies on the directives regarding copyright found in Section 19 of the General Rules Concerning University Organization and Procedures, Campus administrative Manual. The management of digital rights associated with the repository will develop in tandem with University policy and legal requirements. See the IDEALS Copyright and Intellectual Property Policies for current guidelines: http://hdl.handle.net/2142/235. General Submission Guidelines (back to top) Last Revised March 2006
Copyright and Intellectual Property Policies (back to top) Last Revised April 2006 The following provides general policies and guidelines about copyright and intellectual property in relationship to IDEALS. If you have a question that you do not see answered here, please contact Sarah Shreeves, IDEALS Coordinator, at sshreeve@uiuc.edu or 217-244-3877. If you hold copyright: If you hold copyright over an item deposited in IDEALS you retain that copyright. All copyright holders must agree to a non-exclusive distribution and preservation license that allows us to disseminate the deposited work over the web and make copies of that work for preservation purposes. The copyright holder may distribute or formally publish their work in the same or different form without obtaining permission or notifying IDEALS staff. The IDEALS page will explicitly state that the deposited work is protected by copyright. IDEALS does not seek or claim copyright on any deposited works, nor does it seek revenue from deposited works. IDEALS will be working towards noting when a work is made available with a Creative Commons license. Authors that wish to consider setting conditions on re-use (outside of fair use) of their materials may wish to see http://creativecommons.org/about/licenses/meet-the-licenses and the Creative Commons copyright license program. Currently, all items in IDEALS are under copyright with all rights reserved. If you do deposit this material into IDEALS, you must agree to the terms in the non-exclusive distribution and preservation license for IDEALS. This allows us to disseminate the deposited work over the web and make copies of that work for preservation purposes. Depositing your work in IDEALS automatically provides a time and date stamp that will verify your expression of an idea or document your research at a given point in time. If you have signed copyrights over to a third party: If you have signed over your copyright to a publisher or other third party, you may still be able to deposit that work into IDEALS. More and more publishers, whether commercial or non-profit, will permit the deposit of a pre-print or a post-print online and include this permission into their copyright agreement with authors. If you would like to know what your publisher permits, visit the Sherpa Web site at http://www.sherpa.ac.uk/romeo.php and search or browse for the name of your publisher. If your publisher is not listed in the Sherpa database, IDEALS staff would be happy to help you investigate this issue with your publisher. When you publish you can also negotiate to submit your work to IDEALS. SPARC offers useful resources for authors on copyright issues at http://www.arl.org/sparc/resources/copy.html. The University Library's Scholarly Communication site at http://www.library.uiuc.edu/blog/scholcomm/ also has additional information and resources. Sarah Shreeves, IDEALS Coordinator, is happy to discuss these issues as well. If you have permission to deposit this material into IDEALS, you must agree to the terms in the non-exclusive distribution and preservation license for IDEALS. This allows us to disseminate the deposited work over the web and make copies of that work for preservation purposes. If there are specific conditions that the copyright holder makes for the deposit of the material (for example, that it must include the citation information or must be embargoed for a specific period of time) please contact Sarah Shreeves, IDEALS Coordinator, by e-mail to sshreeve@uiuc.edu or by phone at 217-244-3877. If the University of Illinois holds copyright: In some cases (see http://www.uillinois.edu/trustees/rules.html#art3 and specifically, http://www.uillinois.edu/trustees/rules.html#sec34 for more information), the copyright to your work may be held by the University of Illinois. For example, if the author is an academic professional at the University, then the University typically owns the copyright. For the cases where the University owns the copyright, it is not feasible or advisable for authors to request permission to deposit from the Board of Trustees for every work. IDEALS requests that the author determines whether or not the work is appropriate for deposit by contacting the head of the unit where the work was created and asking for permission. For example, in a laboratory, a research scientist may wish to ask the head of the center or academic unit whether deposit is appropriate. If you have permission to deposit this material into IDEALS, you must agree to the terms in the non-exclusive distribution and preservation license for IDEALS. This allows us to disseminate the deposited work over the web and make copies of that work for preservation purposes. IDEALS Deposit Agreement: Non-Exclusive Distribution and Preservation License (back to top) Last Revised April 2006 See the Copyright and Intellectual Property Policies for more information.
Preservation Policy (back to top) Last updated August 2006 INTRODUCTION Preservation, as it applies to library and archives material, can be defined as: "all managerial and financial considerations including storage and accommodation, provision, staffing levels, policies, techniques and methods involved in preserving library and archive materials and the information contained therein." (Mirjam M. Foot, "Building Blocks for a Preservation Policy." (London: The National Preservation Office, 2001): 1.) Within the context of an institutional repository, these combined activities allow the University to better ensure access to digital scholarly content for as long as possible by whoever needs it. Committed to building collections of digital resources and maintaining them for use by students, faculty, scholars, and the public long into the future, the University of Illinois Urbana-Champaign assumes a long term stewardship obligation for the content within the institutional repository, the Illinois Digital Environment for Access to Learning and Scholarship (IDEALS). PURPOSE The IDEALS Digital Preservation Policy outlines this program's plan to support sustainable access to deposited content for the foreseeable future. This policy is subject to change as new and emerging technologies impact our ability to preserve deposited content. However, the development of a reliable digital archive that adheres to and remains compliant with changing standards and best practices remains the best opportunity for IDEALS' success as a repository for the research and scholarship of UIUC. MANDATE The mandate for IDEALS services stems from two primary areas of responsibility:
OBJECTIVES The IDEALS mandate for ensuring the preservation of deposited digital content stems from three primary areas of responsibility:
SCOPE The IDEALS initiative is responsible for preserving, managing, and providing access to locally developed and deposited digital research and scholarship. In particular, it is responsible for finished research and scholarly content and associated supporting documentation and data. OPERATING PRINCIPLES The IDEALS initiative shall adhere to the following operating principles:
ROLES AND RESPONSIBILITIES Libraries and archives have long been entrusted with ensuring access to scholarly content. As a joint program operated between the University Library and CITES, the IDEALS initiative seeks to bridge two very different operational models. Yet, the primary objective remains the same - to preserve and provide access to digital research and scholarship. Both the University Library and CITES assume joint responsibility for the long-term preservation of and access to deposited content. SELECTION AND ACQUISITION The collection will focus on deposits of digital research and scholarship by faculty, students and staff of the University of Illinois at Urbana-Champaign. Contributors may include non-affiliated scholars if they are co-authoring with UIUC authors or are affiliated closely with the University, e.g., are emeritus professors, Survey personnel, or hold honorary appointments. See the IDEALS Collection policy for more information. PRESERVATION STRATEGIES Digital preservation management activities in the IDEALS initiative include:
ACCESS/USE By default all materials deposited into IDEALS are available to any user with internet access. However in some cases, access restrictions may be necessary to comply with intellectual property or copyright agreements (i.e. publisher embargoes). The expectation is that materials accepted for deposit will be renderable (i.e. human viewable) according to the limitations and opportunities of current technologies deployed by IDEALS. This means there may be some format types (usually obsolete or obscure) that will not be fully renderable and when this is the case, IDEALS will make such limitations known in advance whenever possible. Use of materials is limited by whatever copyright notice has been provided. In most cases, authors reserve all rights and material can only be used under fair use provisions. CHALLENGES
COOPERATION/COLLABORATION The University Library and CITES are committed to collaborating with one another in the development of a Trusted Digital Repository in IDEALS. The IDEALS initiative is also committed to collaborating with other institutions and organizations to further technological and operational research to better serve the collective desire to digital content. Pilot Phase Support and Back-Up Policies (back to top) Last revised September 2006 During the Pilot Phase (through Spring 2007) of IDEALS the following will be provided:
Metadata Policy (back to top) Last Revised April 2006 Deposit of materials to IDEALS requires a minimum set of metadata fields (or descriptive information) to be provided at the point of deposit. Some of this metadata will be automatically generated by the software used by IDEALS; other pieces will be provided by the depositor. See the Required Metadata Fields for IDEALS table below for more information. The metadata will be indexed and will be used both the search and browse functions of IDEALS. In addition, the metadata will be made available for services such as OAIster to gather and include in external search engines. Additional metadata fields are also available. These may or may not be applicable to deposited resources and are not required. See the Optional Metadata Fields for IDEALS table below for more information.
Withdrawal Policy (back to top) Last Revised January 2006 It may be necessary under some circumstances to withdraw items from IDEALS. Withdrawals may be initiated by the depositor or an internal or external entity. Triggers for withdrawal may include publication of an article with a publisher that will not allow deposit of preprints or discovery of a copyright violation. All withdrawal requests must go through the IDEALS coordinator and will be reviewed by IDEALS staff. When an item is withdrawn from IDEALS a copy will remain in an inaccessible archive (as specified in the deposit agreement), but will be represented in IDEALS only with a descriptive surrogate. Since any item that has existed within IDEALS may have been cited via its persistent URL, IDEALS will always supply a "tombstone" when the item is requested. The "tombstone" will include the original descriptive information (metadata) plus a withdrawal statement, as described below, in place of the link to the object. If a preprint item is removed due to subsequent publication, the tombstone will include current citation information and, whenever possible, a link to the current version. The metadata for withdrawn items will be visible only to those with the persistent URL and will not be searchable. Withdrawn items will not be available for harvesting by Open Archives Initiative services such as OAIster. To avoid loss of the historical record, the withdrawal transaction will be traced via a provenance statement. The content of the note should include one of the following statements for public review and will also include a more specific statement for internal tracking:
It is also possible to restrict access to material within IDEALS, but withdrawal and access restriction should not be confused. Withdrawal of items is permanent; restricting access to items should not be. See the access restriction policy for more information. Access Restriction Policy (back to top) Last Revised January 2006 By default items in IDEALS have no access restrictions, that is, they are openly and freely available via the web. Open access to deposited items encourages dissemination and use of the research produced at UIUC. The Library and CITES strongly encourage depositors not to place access restrictions on deposited items. However, there may be some situations when depositors need to restrict access to items in IDEALS. For example, a publisher may allow deposit of published articles into an institutional repository, but may place an embargo of six months before the article may be made publicly accessible. Such a postprint might be deposited into IDEALS, but no access would be allowed for a period of six months. Access restrictions may be imposed at the collection or item level. The individual depositor or IDEALS Community makes the decision whether to impose access restrictions. IDEALS allows access restrictions on an item or a collection of items to be set to one of the following levels:
If an individual depositor or IDEALS Community decides to limit access to a specific group (Level 2), the individual depositor or IDEALS Community must take responsibility for the continued maintenance of this group. IDEALS staff takes responsibility for ensuring access is restricted to the UIUC community members (Level 1) or is completely closed (Level 3). Access restrictions may be set to automatically expire after six months or may be set to never expire, except in the case of Level 3 where access restrictions must be placed for a limited amount of time. Access restrictions may also be set to some other specific period of time or may be lifted sooner by request. IDEALS Community Policies (back to top) Last Revised September 2005 The following policy statement outlines the roles, rights and responsibilities of IDEALS Communities, as developed by the working group for the pilot phase of IDEALS. It will be reviewed and revised regularly. 1) What is an IDEALS Community? An IDEALS "Community" is a scholarly unit (e.g. a department, institute, or research center) at the University of Illinois at Urbana-Champaign that produces research and scholarly work (as defined in the IDEALS Collection Policy) and has made the commitment to meet all Community responsibilities documented below. Each Community must have at least one representative who can act as a liaison with the IDEALS staff at the University of Illinois Library. Communities that do not fall into this definition will be considered on a case-by-case basis. To request a Community be created, please submit a Community Request Form to the IDEALS Coordinator, Sarah Shreeves at sshreeve@uiuc.edu. 2) What responsibilities does a Community take on for IDEALS? The IDEALS staff reserves the right to review Community decisions to ensure consistency with IDEALS policies and guidelines. A Community agrees to:
3) What responsibilities does a Community Liaison take on? A Community Liaison agrees to:
4) What responsibilities does IDEALS take on for a Community? IDEALS agrees to:
5) What rights does a Community retain? A Community retains the right to:
6) What rights does IDEALS retain regarding Communities? IDEALS retains the right to:
Individual Depositor Policies: Policy for UIUC Researchers and Scholars Community Contributors (back to top) Last revised October 2005 The following policy statement outlines the roles, rights and responsibilities of a individual depositor to the UIUC Researchers and Scholars community, as developed by the working group for the pilot phase of IDEALS. It will be reviewed and revised regularly. 1) What is a UIUC Researchers and Scholars Community Contributor? An IDEALS Research Contributor is any person who submits an item into the UIUC Researchers and Scholars community. The UIUC Researchers and Scholars community is meant for use by individuals whose scholarly unit (department, research center, etc) has not established a community or who would like to deposit a resource that does not fit within the scope of an already established community but does fit within the scope of the IDEALS Collection Policy. 2) What responsibilities does a Research Contributor take on? A Research Contributor agrees to:
3) What responsibilities does IDEALS take on for a Research Contributor? IDEALS agrees to:
4) What rights does a Research Contributor retain? A Research Contributor retains the right to:
5) What rights does IDEALS retain regarding Research Contributors? IDEALS retains the right to:
Repository Support and Downtime (back to top) During the Pilot Phase of the IDEALS initiative (April 2006 - Summer 2007), the preservation policy will provide for the following:
Contact Information (back to top) For general information, contact Sarah Shreeves, IDEALS Coordinator, via email at sshreeve@uiuc.edu or phone at 217-244-3877 or 217-333-4648. For technical information, email Tim Donohue, IDEALS Research Programmer, via email at tdonohue@uiuc.edu or phone at 217-333-4648. |
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