Hughes 1

Bambi Hughes

LIS 671

Dr. Zack

Lischer-Katz

11 April 2022

Policy Assignment

Yale University Library’s Digital Preservation Policy Framework

https://web.library.yale.edu/departments/preservation/policies-procedues-guidelines

By providing staff expertise, a diverse collection, inclusive programs and services, and a

welcoming environment, the Yale University Library advances teaching, research, learning, and practice

at Yale University. As a catalyst for individual and societal development, the library aims to foster

growth. To fulfill the University's mission, University staff promote a culture of curiosity and discovery.

Additionally, they make knowledge more widely accessible in order to address systemic inequities.

There are more than a dozen libraries and locations where the library has more than fifteen

million print and electronic volumes. Among the resources available to faculty and students are

thousands of licensed e-resources and collections of papyri from ancient Egypt, early illustrated books,

rare films and music recordings, photographs, and a growing collection of born-digital materials. The

Yale University Library makes licensed electronic resources available for faculty, staff, students, and

other authorized users to use for their personal, clinical, scholarly, research, or instructional purposes. The

intended users of the library’s collections are students, staff, researchers, historians, or anyone else with

an interest in the university’s digital items or resources.

Introduction or Purpose

Yes, a contextualization and articulation of the need for the policy was included. The framework

was developed to provide a common understanding of how digital preservation activities will be
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organized, managed, and undertaken at Yale University Library (YUL) and outline YUL's specific

commitments concerning those digital preservation activities.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Mandate

There is not a statement that addresses legal, institutional, or unit requirements to preserve digital

objects. It is essential to adhere to legal and institutional needs. There could be severe repercussions

legally for not doing so. However, there is a short line about service level agreements–”The policy

framework may form the basis for service level agreements if YUL provides digital preservation services

to non-YUL partners in the future.

This portion is not sufficient to assure the purpose of the plan and contributes to the overall goal

of preservation.

Objectives

No description of intentions for the institution's digital preservation program is listed. However,

this is possibly tied to the organization's mission statement listed on its website and in the introduction to

this document.

This portion might be sufficient to assure the purpose of the plan and contribute to preservation's

overall goal. However, it would be beneficial to list this clearly on the preservation plan.

Scope

Yes, a statement establishes boundaries as to what the organization will preserve and, more often

than not, priorities amongst various materials. The applications, expectations, limitations, audience, and

boundaries for preservation are listed.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Challenges
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Yes, there is an identification and articulation of the challenges and risks associated with the

process of digital preservation. YUL will not limit digital objects accepted for protection solely based on

technological challenges. The document states, “[S]ome digital objects may be technically challenging

and thus expensive to preserve, and YUL cannot be expected to commit to preserving these objects

without a clear understanding of what that entails and how it will be funded.”

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Principles

Yes, a statement addresses the values and philosophy by which an organization operates its

digital preservation program. The document includes up to ten guiding principles and five supporting

policy statements. The strategy’s regulations summarize YUL's commitments to undertaking digital

preservation activities. The policy statements provide further details to clarify the principles where there

may be ambiguity due to their (intentional) brevity.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Roles and Responsibilities

Yes, there is an identification of the various roles in the digital preservation process; it may

aggregate the positions at an institutional or unit within an institution level, establish group roles, or

identify individual parts.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Collaboration

Yes, a statement acknowledges that digital preservation is a shared community responsibility and

identifies steps to be taken to cooperate and collaborate. Yale University Library adheres to specific

commitments to ensure the preservation of digital content that it is responsible for. These include

providing and using services and the preservation of digital content.

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This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Selection and Acquisition

Yes, there are criteria for preserving materials tied to a repository's collection development

policy. According to the document, “principles in this policy framework apply to digital preservation

activities only. They do not, and are not, intended to restrict the ability of curators, selectors and

acquisitions staff to acquire whatever digital content they are empowered to collect.”

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Access and Use

Yes, there is a short statement that addresses the concept of open access and levels of restriction;

further, it addresses the likely inability to render the original digital artifact and that the effort will be

made to deliver the best possible surrogate. YUL will ensure preserved digital objects are securely stored

and appropriate access controls are in place and will monitor preserved digital objects to identify when

content is in danger of becoming inaccessible due to technological change.

However, this portion is not sufficient to assure the purpose of the plan and contribute to the

overall goal of preservation. There needs to be much more information regarding access and restrictions.

References

Yes, a listing identifies other standards and policies referred to within the policy document in

appendix 2. Listed are policies from institutions around the world and a policy development group.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Glossary

Yes, there is a listing of terms as necessary in appendix 1. Fourteen challenging and basic terms

are listed and explained in the glossary.

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This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Statement of Financial Commitment

According to the document, “YUL cannot be expected to commit to preserving any digital

content if the Library has not been funded to preserve the content. Therefore, the organization does not

claim financial commitment but instead will not hold items if the funding is not acquired. However, they

will ensure adequate funding is available to support the preservation activities for the complete

preservation period.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Training and Education

No, there is no information on training and education. This is relevant to know so that all

personnel are trained and educated similarly for consistency and understanding within the organization.

This portion is not sufficient to assure the purpose of the plan and contributes to the overall goal

of preservation.

Review Cycle

There is no review cycle listed. However, monitoring and review are essential to consistent version

control and staff procedures.

This portion is not sufficient to assure the purpose of the plan and contributes to the overall goal

of preservation.

Implementation

Yes, a statement articulates the commitment to implementing the policy and the need to adopt

standards, best practices, and procedures. YUL’s digital preservation strategy and its principles are

supported by several policies that further detail how the strategy’s principles will be implemented in

practice.
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This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Cornell University Library Digital Preservation Policy Framework

https://ecommons.cornell.edu/handle/1813/11230

With deep expertise, innovative services, and outstanding collections, Cornell University Library

strives to empower Cornell's research and learning community. In addition, it provides a foundation for

broad inquiry and supports the University's mission to discover, preserve, and disseminate knowledge and

creative expression. The university offers world-class research, education, and outreach through its

physical and digital content as society transforms. Through partnerships within and outside the university,

the Library supports Cornell's land grant mission in New York State and beyond. Through its resources,

collections, and physical and virtual libraries, the Library supports Cornell's mission. Furthermore, it is a

neutral, trusted party that facilitates scholarly communication and information access.

CUL's commitment to the long-term preservation of its extensive and diverse collection of digital

assets is formalized in this document. As part of its digital preservation program, CUL recognizes the

importance of a reliable, sustainable digital archive that complies with prevailing standards and practices.

Among the items at the library are born-digital materials, digitized materials, physical items, and more.

Cornell Library's collections are diverse and include many printed volumes, media, and archival

materials. There are over eight million titles in the Library's collection, including more than a million

ebooks. In addition to some 5 million journal article downloads per year, the Library's digital collection

increases, with 91 percent of the 120,000 current serial titles available online. Among the Library's many

nationally renowned collections are resources on Southeast Asia, industrial relations, viticulture, and Old

Norse and Icelandic. Additionally, the library has research collections in finance, chemistry, astronomy,

history, french literature, mathematics, medieval studies, microbiology, and North European literature and

language.

Introduction or Purpose
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Yes, a contextualization and articulation of the need for the policy was included. This document

formalizes Cornell University Library’s (CUL) continuing commitment to the long-term preservation of

its diverse and extensive range of digital assets. As addressed in the purpose section, it is crucial to

contribute to the mission of the University to enrich the intellectual life of the University by supporting

information discovery and academic growth, stimulating creativity, partnering in the development of new

knowledge, and ensuring continued access to this information over time.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Mandate

A statement addresses legal, institutional, or unit requirements to preserve digital objects. The

mandate for digital preservation has five parts–scholarship, institutional records, legal obligations,

organizational commitment, and consortial and contractual obligations.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Objectives

A description of intentions for the institution's digital preservation program is listed. The primary

intent of the digital preservation program is to preserve the intellectual and cultural heritage vital to the

University. Several objectives are also listed.

This portion is sufficient to assure the plan's purpose and contributes to the overall goal of

preservation.

Scope

Yes, a statement establishes boundaries as to what the organization will preserve and, more often

than not, establish priorities amongst various materials. Not all of the digital content CUL creates or

acquires will be preserved. Cornell commits to these classes of objects with associated preservation

priorities and levels of commitment:

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This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Challenges

Yes, there is an identification and articulation of the challenges and risks associated with the

process of digital preservation. These challenges include rapid growth and evolution, sustainability,

content provider partnerships, enabling complete preservation, and flexibility.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Principles

Yes, a statement addresses the values and philosophy by which an organization operates its

digital preservation program. There is an extensive list of “avows that the digital preservation program

will” adhere to.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Roles and Responsibilities

Yes, there is an identification of the various roles in the digital preservation process; it may

aggregate the positions at an institutional or unit within an institution level, establish group roles, or

identify individual roles. The University Library has primary responsibility for digital preservation at

Cornell, but digital preservation is a shared responsibility across the University. All responsible officers

of the University, content creators and disseminators with a custodial role for digital content identified for

long-term preservation have a responsibility to actively contribute to the intent and priorities necessary to

fulfill this policy.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Collaboration
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Yes, a statement acknowledges that digital preservation is a shared community responsibility and

identifies steps to be taken to cooperate and collaborate. CUL is committed to collaborating within the

University and with other institutions to: advance the development of the digital preservation program.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Selection and Acquisition

Yes, there are criteria for preserving materials tied to a repository's collection development

policy. The criteria include factors for determining when the “look and feel” of digital content as created

should be retained.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Access and Use

Yes, there is a short statement that addresses the concept of open access and levels of restriction;

further, it addresses the likely inability to render the original digital artifact and that the effort will be

made to deliver the best possible surrogate. Access to preserved digital content is provided using the most

up-to-date technology available at the time of use.

This portion is sufficient to assure the purpose of the plan and contribute to the overall goal of

preservation.

References

Yes, a listing identifies other standards and policies referred to within the policy document in

Appendix A. Listed are policies from institutions around the world and a policy development group.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Glossary

Yes, there is a listing of terms as necessary in appendix A. Twelve challenging and basic terms

are listed and explained in the glossary.

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This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Statement of Financial Commitment

According to the document, “Moving from well-managed digital collections to preserved

collections in the true sense of the term requires institutional effort, partnership development, and a

financial commitment.”

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation. However, it would be helpful to have more information.

Training and Education

Yes, there is information on training and education. This was mentioned in the objectives. The

institution aims to identify and support the core working team to develop and operate the digital archive

and provide requisite training and development as needed.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation. However, it would be helpful to have more information.

Review Cycle

There is a review cycle listed. The Library seeks to offer valuable services to Cornell researchers in all

disciplines at every stage of their research, from initiation to dissemination.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.

Implementation

Yes, a statement articulates the commitment to implementing the policy and the need to adopt

standards, best practices, and procedures. CUL recognizes that a fully implemented digital preservation

program has a reliable and sustainable digital archive at its core, compliant with prevailing standards and

practice.

This portion is sufficient to assure the purpose of the plan and contributes to the overall goal of

preservation.
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Conclusion

After reviewing both plans, I concluded that the Cornell University Library Digital Preservation

Policy Framework is a much more thorough and organized framework than Yale University Library’s

Digital Preservation Policy Framework. While both were organized in their own ways, the Cornell

document was laid out in a more universally understandable manner. It was challenging to find the

sixteen components identified by the OSUL framework in the Yale document, and some were not listed at

all. The Cornell preservation policy contained every single one of these components and included

easy-to-navigate headings for each one. This plan had the most potential to contribute to the overall goal

of short and long-term digital preservation for the organization. Each of the library’s goals and objectives

is specified in great detail. I had to reread several sections within the Yale policy, looking for specific

components. I did not have this problem at all with the Cornell document. Cornell’s plan seems to be the

more clear and concise of the two. I can see that Cornell personnel would have no trouble staying

consistent with one another following this plan.