1. Implications of Capture and Preservation of Scholarly and Administrative Information The Need for Collaborative Enterprise Policy Development CNI Spring Task Force, April 15, 2004

2. University of Kansas CNI Spring Task Force, April 15, 2004 Copyright 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.

3. University of Kansas CNI Spring Task Force, April 15, 2004 Presenters: University of Kansas Marilu Goodyear Vice Provost for Information Services, & CIO Beth Forrest Warner Asst. Vice Provost for Information Services Deb Ludwig Director, Enterprise Academic Systems Richard Fyffe Asst. Dean for Scholarly Communications, Libraries

4. University of Kansas CNI Spring Task Force, April 15, 2004 Today’s Shifting Focus Focus on “Information Age” shifting toward focus on the “Informed Age”

5. University of Kansas CNI Spring Task Force, April 15, 2004 Key Concept Information and Knowledge are the Fuel Driving the University

6. University of Kansas CNI Spring Task Force, April 15, 2004 Information Services @ KU Key player on campus in responding to / helping shape this change in focusKey player on campus in responding to / helping shape this change in focus Help the University community leverage information / knowledge: make the “best use” of itHelp the University community leverage information / knowledge: make the “best use” of it

7. University of Kansas CNI Spring Task Force, April 15, 2004 Information Services @ KU Our Role: Provide systems and services to scholars, students and decision- makers to help them create, access, use, distribute, and preserve information and knowledge

8. University of Kansas CNI Spring Task Force, April 15, 2004 Information / Knowledge Processes CreateCreate AccessAccess RetrieveRetrieve UseUse AnalyzeAnalyze ConvertConvert ManipulateManipulate Distribute or disseminateDistribute or disseminate CommunicateCommunicate PreservePreserve –Print –Digital

9. University of Kansas CNI Spring Task Force, April 15, 2004 IS Systems and Services TechnologyTechnology –Network –Systems –Services ContentContent Human ResourcesHuman Resources –Expert Staff Spaces to do intellectual work and collaborationSpaces to do intellectual work and collaboration

10. University of Kansas CNI Spring Task Force, April 15, 2004 Impact of Shifting Information Life-Cycle Shift toward focus on digital formats resulting in need to re-examine information life-cycleShift toward focus on digital formats resulting in need to re-examine information life-cycle Critical to understanding methods for digital asset managementCritical to understanding methods for digital asset management Key to defining the “points of influence” for preserving digital assetsKey to defining the “points of influence” for preserving digital assets Outcome:Outcome: –Must move management processes “upstream” to the point of information creation –New services, procedures, and policies needed

11. University of Kansas CNI Spring Task Force, April 15, 2004 IS Strategic Planning @ KU Need to move past the dual concepts of:Need to move past the dual concepts of: –Library information management –Information technology provisioning Need to move to the concept of Information Services as a truly integrated serviceNeed to move to the concept of Information Services as a truly integrated service –“Information-centric” service delivery models, not “unit-centric” models

12. University of Kansas CNI Spring Task Force, April 15, 2004 IS Strategic Planning @ KU To more strategically fulfill our role:To more strategically fulfill our role: –planning efforts must be very collaborative with our user / client community –our response to planning must be rapid

13. University of Kansas CNI Spring Task Force, April 15, 2004 New IS Strategic Initiatives HVC 2 : High Velocity Change through High Volume CollaborationHVC 2 : High Velocity Change through High Volume Collaboration –Collaborative learning spaces - improving campus learning centers by better integrating print and electronic resources; –Quality of Service models for students, scholars, and decision makers - designing new service models &delivery methods; –Digital preservation - preserving digital resources in administrative, instruction, and scholarly research areas Effective IS Organizational StructureEffective IS Organizational Structure Institutional Repository: KU ScholarworksInstitutional Repository: KU Scholarworks

14. University of Kansas CNI Spring Task Force, April 15, 2004 HVC 2 : Focus on Digital Assets Through collaborative discussion, help define the role of university leaders in digital asset managementThrough collaborative discussion, help define the role of university leaders in digital asset management –Information Services leaders –Academic leaders –Administrative leaders –Creators (faculty and students) Help facilitate campus-wide planning and policy developmentHelp facilitate campus-wide planning and policy development

15. University of Kansas CNI Spring Task Force, April 15, 2004 Managing KU’s Digital Assets HVC 2 Digital Preservation Task ForceHVC 2 Digital Preservation Task Force Information Services ReorganizationInformation Services Reorganization

16. University of Kansas CNI Spring Task Force, April 15, 2004 HVC 2 Digital Preservation TF Explore the implications of the University commitment to the preservation of digital resources, both administrative and academic, along with the information services infrastructure (organizational, technical, policy, financial) suitable for carrying forward this commitment

17. University of Kansas CNI Spring Task Force, April 15, 2004 Goals 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?

18. University of Kansas CNI Spring Task Force, April 15, 2004 Goals of the Task Force (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.

19. University of Kansas CNI Spring Task Force, April 15, 2004 University Digital Assets Defined 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 work of University faculty, staff, or studentsCreated to fulfill the research, teaching, or creative work 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 their relationship to particular systems or applicationsHave the potential to be needed and used apart from their relationship to particular systems or applications May require preservation … but not necessarilyMay require preservation … but not necessarily

20. University of Kansas CNI Spring Task Force, April 15, 2004 Managing KU’s Digital Assets: Broad Goals Re-align and Develop the Information Services OrganizationRe-align and Develop the Information Services Organization Understand our InformationUnderstand our Information Develop Information & Technology ArchitecturesDevelop Information & Technology Architectures Develop Appropriate ToolsDevelop Appropriate Tools

21. University of Kansas CNI Spring Task Force, April 15, 2004 Re-align the Information Services Organization Recognize the reason we exist - informationRecognize the reason we exist - information Address the complexity of information within a framework that delineates responsibilities for applications, content or digital assets, and operational platformsAddress the complexity of information within a framework that delineates responsibilities for applications, content or digital assets, and operational platforms Recognize the importance of data stewardshipRecognize the importance of data stewardship

22. University of Kansas CNI Spring Task Force, April 15, 2004 Understanding Our Information 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

23. University of Kansas CNI Spring Task Force, April 15, 2004 Develop Information / Technology Architectures Foster exchange of data through gateways rather than replicationFoster exchange of data through gateways rather than replication Provide access to the data that decision-makers need for answering questions, solving problems, and analyzing trendsProvide access to the data that decision-makers need for answering questions, solving problems, and analyzing trends Honor the needs for confidentiality of data and selective accessHonor the needs for confidentiality of data and selective access Know the shelf life requirements and preservation needs of University digital assetsKnow the shelf life requirements and preservation needs of University digital assets

24. University of Kansas CNI Spring Task Force, April 15, 2004 Develop the Tools Content creationContent creation Lifecycle managementLifecycle management Access & useAccess & use Exchange through gatewaysExchange through gateways

25. University of Kansas CNI Spring Task Force, April 15, 2004 Addressing Scholarly Information KU Scholarworks

26. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks “A repository of scholarship created by faculty and staff at the University of Kansas.”“A repository of scholarship created by faculty and staff at the University of Kansas.” Goals include dissemination and preservation (“enduring access”)Goals include dissemination and preservation (“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.eduhttps://kuscholarworks.ku.edu

29. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Phase 1 System Implementation (summer 2003)System Implementation (summer 2003) Policy Analysis: developed an analytical framework to identify key policy questions and implications (summer 2003)Policy Analysis: developed an analytical framework to identify key policy questions and implications (summer 2003) Recruitment of early adopters for feedback on interface and policy issues (fall 2003)Recruitment of early adopters for feedback on interface and policy issues (fall 2003) –Teaching faculty in diverse disciplines invited to test and critique –Conversations with selected faculty, deans, and Research Center directors

30. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Phase 2 Evaluation (January-February 2004)Evaluation (January-February 2004) –Interviews with early adopters on basic functionality –Focus group with grant PI’s on dissemination needs –Focus group with early adopters on policy issues Framework distributed beforehand with questions, possible responses, and rationale/implications.Framework distributed beforehand with questions, possible responses, and rationale/implications.

31. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 1) How Should the Repository Be Organized? –By community? –By subject or topic? –By both community and subject?

32. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 2) Who May Contribute to the Repository? –Which current members of KU should be eligible to contribute content? (Faculty, graduate students, collaborators from other institutions?) –Should individuals be able to contribute on their own or only as members of a formal community?

33. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 3) Who Will Decide Which Specific Items Can Go Into the Repository? –Should there be a review process or will authorized individuals post content at their own discretion? –Should different requirements for review be set for different types of contributors (faculty vs. graduate students, e.g.)? –Who should review contributions? –Would inclusion of a document imply KU endorsement?

34. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 4) What Kinds of Content Should be Included? –Curricular materials? –Student projects? –Citations without texts?

35. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 5) What Restrictions Should be Allowed on Access to the Content and on the Kinds of Use that May be Permitted? –Contributor only? –Department/school only? –KU only? –Specific users defined by the contributor? –Creative Commons approach to granting usage rights?

36. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 6) Should Withdrawal of Posted Content be Permitted? –May materials ever be withdrawn? (Repository as archive vs. working space) –How would withdrawal decisions be made? –Who would authorize withdrawal?

37. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Policy Framework 7) Should Formal Training Be Required Before the Repository Can be Used by an Individual or a Community?

38. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Early Observations Scholarly practices differ across disciplines and subdisciplinesScholarly practices differ across disciplines and subdisciplines Academic departments are not natural epistemic communitiesAcademic departments are not natural epistemic communities Epistemic communities are dynamic while archival systems assume stabilityEpistemic communities are dynamic while archival systems assume stability

39. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Key User Issues Community-based structure vs. “open deposit”Community-based structure vs. “open deposit” Governance and decision-makingGovernance and decision-making “Controversial” content“Controversial” 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

40. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Phase 3 Plan to implement DSpace 1.2 spring/summer 2004 for university-wide use by September 2004Plan to implement DSpace 1.2 spring/summer 2004 for university-wide use by September 2004 Will probably form a Policy Advisory Committee to set central policy on:Will probably form a Policy Advisory Committee to set central policy on: –Access restrictions –Withdrawal of content/versions –Text of Author License –Guidelines on posting previously published work

41. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Phase 3 (Toward a Hybrid Organization) “Ad-hoc” Communities:“Ad-hoc” Communities: –Defined by communities of interest –Will set internal policies for contributors and review protocols Formal Communities:Formal Communities: –Will mirror KU administrative structure –Will set internal policies for contributors and review protocols Subject Communities:Subject Communities: –“Open deposit” for all faculty –Pre-determined taxonomy –Policies set centrally

42. University of Kansas CNI Spring Task Force, April 15, 2004 KU ScholarWorks Development: Reflections on Collaborative Policy Development Weaknesses:Weaknesses: –The process is slower and more labor-intensive –Faculty time and attention are limited Strengths:Strengths: –Encourages faculty “ownership” of the program –Positions us to respond to innovative uses of the system –Maintains tie between processes of creation and preservation

43. University of Kansas CNI Spring Task Force, April 15, 2004 Collaborative Policy Development for Digital Asset Management Effective Digital Asset Management is a Campus IssueEffective Digital Asset Management is a Campus Issue Critical for IS to develop organizational structures and processes toCritical for IS to develop organizational structures and processes to –Respond quickly to new user needs, new technologies –Maintain long-term perspective for digital asset management / data stewardship IS must be central player in framing background and issues for policy developmentIS must be central player in framing background and issues for policy development Critical to involve campus in substantive policy discussions within that frameworkCritical to involve campus in substantive policy discussions within that framework

44. University of Kansas CNI Spring Task Force, April 15, 2004 Questions? Marilu Goodyeargoodyear@ku.edu Beth Warnerbwarner@ku.edu Richard Fyfferfyffe@ku.edu Deb Ludwigdludwig@ku.edu Information Services, University of Kansas