UPSpace Policy - Library - University of Pretoria

University of Pretoria
Digital Institutional Research Repository
UPSpace User Policy Document
Working Paper
University of Pretoria
Pretoria
0001
http://repository.up.ac.za
E-mail: upspace@up.ac.za
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UPSpace User Policy Version 3.2
Updated by Hettie Groenewald and Kataila Ramalibana on 6/20/2013
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Table of Contents
1. About UPSpace 3
2. UPSpace Project Evaluation Committee 3
3. UPSpace User Group 4
4. Open Access Approach at UP Libraries 5
5. Submission Policy 5
6. Policy on Communities/Collections within UPSpace 9
7. Responsibilities & Services: Dept. of Library Services,
Library Information Systems & Technology & Dept. of IT 11
8. Rights of the Dept. of Library Services 12
9. Responsibilities of the University of Pretoria 12
10. Responsibilities of the Unit for Information Systems & Technology 12
11. Licensing, Copyright, Privacy and Intellectual Property 12
12. Services offered through UPSpace 14
13. Preservation Policy & Support 14
14. Withdrawal policy 17
15. Workflow Policy 17
16. Persistent Identifiers in UPSpace 20
17. Metadata Standards 20
18. Provenance data tracked by UPSpace 21
19. Authentication in UPSpace 21
20. UPSpace Server Details 21
21. Service Level Agreements 21
22. Communication 22
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UPSpace User Policy Version 3.2
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1. About UPSpace
”In supporting Open Access, UPSpace is the UP archive of research output produced, submitted and
sponsored by the UP Community and research material donated to the University of Pretoria for long
term preservation, distribution on the web and to create visibility of the University of Pretoria and the
authors internationally “ Pienaar, H. 2012. Strategic Planning 2012-2025, E-Service Unit. Department
of Library Services, University of Pretoria.
Attributes of a trusted repository are achieved by complying with the Reference Model for an Open
Archival Information System (OAIS):
An ISO standard (approved in 2003 and updated in 2009) that formally expresses the
Roles, Functions and Content of an Archive at http://digi.nrf.ac.za
The repository uses DSpace TM version 1.8.2 software, developed at MIT with support from Hewlett
Packard, which complies with the Open Archives Initiative (OAI); thus allowing items to be easily
discovered by web search engines, services and indexing tools.
Each item in the repository is assigned a unique persistent identifier, using the CNRI Handle System.
The identifiers are resolvable in perpetuity, and will remain valid even if content migrates to a new
system. This allows documents in the repository to be properly and effectively cited in other research.
* The UP Community refers to:
• Present and future staff members of the Department of Library Services, University of
Pretoria;
• Past, present and future academic staff at the University of Pretoria;
• Focus areas, faculties, centers, institutes and research divisions at UP.
2. UPSpace Project Evaluation Committee
2.1 Focus of the UPSpace Project Evaluation Committee
It will be the responsibility of the UPSpace Project Evaluation Committee to evaluate applications
(see Application form available at ) for new projects to be hosted on UPSpace. This will include:
the capacity of the UPSpace server, copyright of material cleared or Letter of Consent received, the
digitisation of material, adding retrospective material to existing collections, as well as the creation of
new collections on UPSpace. The availability of metadata editors and role players in the workflow of
the collections will also be considered, to ensure quality control on UPSpace, and to adhere to the
attributes of a Trusted Repository. Projects accepted, will be prioritized according to above-mentioned
terms and conditions.
The UPSpace Project Evaluation Committee’s role will be ongoing; issues will be revisited on a
regular basis, and as new issues arise. The UPSpace Project Evaluation Committee’s decisions will
take into consideration the Department of Library Service’s overall mission, as well as the University
of Pretoria’s mission and goals, so as to ensure that the UPSpace service is aligned with these.
2.2 Role of the UPSpace Project Evaluation Committee
The UPSpace Project Evaluation Committee will make decisions related to UPSpace services,
standards, and functionality. When the committee’s decisions have significant financial, service, or
public relations impact, the issues will be referred to the Department of Library Services Management
Team, made up of senior library administrators, for endorsement.
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2.3 Composition of the UPSpace Project Evaluation Committee
The committee includes the following:
Assistant Director; E-Service Unit, Dept.of Library Services (Chair)
IR Manager
IR Systems Manager
Manager; Digitisation Office
Coordinator; Metadata Editors
Meetings will be arranged as requested by the IR Manager, and will then include Ad hoc members
affiliated with the project.
3. UPSpace User Group
3.1 Focus of the UPSpace User Group
It will be the responsibility of the IR Manager to inform the UPSpace User Group on operational level
including:
new policies;
upgrading to a new version;
enhancements;
changes in workflow;
guidelines and policies;
quality control;
sharing monthly statistics
The IR Manager will share the implementation of policy decisions taken by the UPSpace Project
Evaluation Committee
3.2 Composition of the UPSpace User Group
This team includes the following individuals and meetings will be arranged as needed:
IR Manager
IR IT Support Manager
Digitisation Specialist
Metadata Specialist
Open Access Specialist
Copyright Officer
Special Collections Representative
Representatives (Information Specialists) from Faculty Libraries – give feedback to team
Representatives (UP Departments) involved in UPSpace collections
3.3 Notes of these meetings will be made available to all relevant parties via the
upspace@kendy.up.ac.za mailing list.
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4. Open Access Approach at UP Libraries
Research is not always accessible to all, and often only to the benefit of those who can afford to
subscribe to very expensive databases. The Department of Library Services supports open access to
all research conducted by members of the UP community, provided that patents, copyright and
intellectual property rights issues are taken into account, and the laws that govern these issues are
adhered to. Through making UP research output freely available for all to access and use, we would
like to help increase the usage, impact and citation rate of research conducted by our members, as
well as the visibility of the University of Pretoria on international level. This can in turn impact on the
NRF-rating and H-index of individual researchers, and the listing of the University of Pretoria on the
Shanghai University List. Also refer to the UP Open Access Mandate (August 2009).
Currently there are two currents in the Open Access movement:
• OA self-archiving in institutional repositories (“green” road to OA)
• OA publishing (“gold” road to OA – see e.g. DOAJ)
In addition to archive their research output within the institutional repository, researchers are
encouraged to publish in journals supporting the gold road.
5. Submission Policy
5.1 Persons allowed to submit content to UPSpace
Any UP staff member or research member of the UP Community may submit items to the
repository once the necessary rights have been assigned to that individual by the Collection
Administrator of a specific Collection as defined in the Application for a new Collection
Permission to submit items to a specific Collection will have to be granted to that member by
the administrator of a Collection, assuming that training is being provided.
5.2 Content to be submitted to UPSpace
Content of the following nature will be allowed for submission to UPSpace:
1. The work must be produced, submitted or sponsored by the UP Community.
2. The work must be scholarly or research oriented.
3. The work must not be ephemeral.
4. The work must be in digital form.
5. The work should be complete and ready for "publication".
6. The author/owner should be willing and able to grant the University of Pretoria the right to preserve
and distribute the work via UPSpace.
7. If the work is part of a series, other works in that series should also be contributed so that
UPSpace can offer as full a set as possible.
8. The motivation for submitting an item to UPSpace should be to ensure long-term preservation
of the work. Work of temporary value will not be allowed.
9. Work that has been donated to the University of Pretoria.
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10. Copyright for all items and files (bitstreams) submitted to UPSpace must have been cleared in
advance and where necessary, and a note has to be added to each individual item on
submission to UPSpace.
11. File names for files (bitstreams) should adhere to the file naming structure decided upon by
the Collection Administrator, as specified in the Collection policy.
12. It is recommended that items rather be “Withdrawn” than to be fully “Deleted”,
A description.provenance note stating the reason should be added prior to the withdrawal,
documenting the history. The same applies when an item is reinstated.
13. When an item is moved to another collection a description provenance note stating the reason
should be added to the metadata record prior to moving the item.
14. By entering the expired date of a restricted item in the description embargo field,
the system will automatically lift the restriction of the item.
15. Mini-dissertations can be defined as:
- lectured/coursework Masters
- required research projects for final years (4 th and 5 th year) undergraduate courses
The policy regarding the hosting of mini-dissertations on UPSpace will imply the following:
- Approval for publication on web by HOD of Department by means of a “Letter of consent”
- The letter will be uploaded in the restricted UPSpace Letters of Consent collection on the
Institutional Repository and the link made available on the specific collection.
- All copyright issues are cleared, including sensitive information of firms used in preparation of
dissertation
- Confidential reports will not be uploaded
- Completing the Application for a new Collection request annually
- An evaluation committee will evaluate the application and give feedback
- Role players will be allocated and trained
- The collection and archived records will be monitored by the IR Manager and:
- records not adhering to IR set standards will be withdrawn
- role players not upholding the quality standards be removed from the collection
5.3 Content not to be submitted to UPSpace
The following material/ content will not be allowed to be submitted into UPSpace:
Material which is of controversial nature.
Material which contains content of discriminatory nature.
Administrative material.
Commercial material.
Material without the relevant full text attached.
Content submitted to UPSpace have to comply with the South African Bill of Human Rights.
5.4 Digital formats accepted by UPSpace
At the University of Pretoria all manner of digital formats aimed at supporting research activities will
be allowed for submission.
Some examples of items that can be accommodated by UPSpace are:
• Documents (e.g. articles, pre-prints, post-prints, working papers, technical reports,
conference papers, speeches, newspaper clippings, manuscripts)
• E-resources e.g. E-books
• Data sets
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• Computer programs
• Visualizations, simulations, and other models
• Multimedia publications
• Theses and dissertations
The following will, for now, not be accommodated through UPSpace:
• Temporary Learning Objects (Use clickUP/ Blackboard)
• Full text digital articles and digital images of temporary nature, e.g. reserved material (Use
Millennium)
5.5 Required fields for a Submission
The Qualified Dublin Core Schema (http://dublincore.org/ ), consisting of 15 elements and the
qualifiers for each, is used to collect metadata from an item (resource). Reasons for collecting
metadata:
• To aid in the retrieval process
• As a surrogate for the item (for instance, metadata harvesting by another system)
• For use in later products (for instance, a bibliography in a particular discipline)
Listed below are the 15 Qualified Dublin Core fields. Mandatory fields are indicated where applicable.
Metadata
Element
Creator
Contributor
Coverage
Date
Description
Format
Identifier
Language
Publisher
Element Description
Main author. An entity primarily responsible for
making the content of the resource e.g. a
person, an organization or a service.
An entity responsible for making contributions to
the content of the resource.
The extent or scope of the content of the
resource. Spatial/temporal characteristics of the
intellectual content of a resource.
A date of an event in the lifecycle of the
resource, associated with the creation,
availability or lifecycle of the resource.
An account of the content and provenance of
the resource, e.g. an abstract, table of contents,
origin. All available information on the item not
provided for elsewhere.
The physical or digital manifestation of the
resource.
An unambiguous reference to the resource
within a given context.
A language of the intellectual content of the
resource.
An entity responsible for making the resource
available, responsible for publication, distribution
or imprint.
Policy
Mandatory (Unknown if not
available)
Not required
Not required
System supplied if not provided
by user
Encouraged
System supplied
System supplied
Mandatory (pull-down menu,
including "non-text")
Not required
Relation A reference to a related resource. Required if available
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Rights
Source
Subject
(unqualified)
Title
(unqualified)
Type
Information about rights held in and over the
resource.
A reference to a resource from which the
present resource is derived.
The topic of the content of the resource. Free
language terms.
A name given to the resource. The title will be
the name by which the resource is formally
known.
The nature or genre of the content of the
resource.
Mandatory (indicate if no rights
apply)
Not required
Mandatory
Mandatory
Mandatory
For a detailed explanation and policy on how to apply the 15 metadata fields within UPSpace, please
refer to the Metadata Policy Working Paper available at http://www.dspace.up.ac.za/metadata.pdf
As Resource Description and Access (RDA) standards will be replacing the Anglo-American
Cataloguing Rules as the international cataloguing standard from 2013 onwards, it will be
implemented in UPSpace metadata and will be available online.
In consultancy with the IR manager a community may have a community-specific or collection user
interface.
5.6 Submission of revised versions
The repository will treat any revised versions and the first draft as separate records. Every update
that is to be archived will need to be submitted separately. A request for the withdrawal of previous
submissions may be sent to upspace@up.ac.za. All requests will be archived within the “UPSpace
Provenance” Collection, and documented within the description.provenance field of an item.
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6. Policy on Collections within UPSpace
6.1 Defining a Collection in UPSpace
Items in the repository are organized according to Collections. A UPSpace "Collection" can be
described as an academic unit that produces research, has a defined leader, has long-term stability,
and can assume responsibility for setting Collection policies. Each Collection must be able to assign a
coordinator (administrator) who can work with the UPSpace Manager. Groups wishing to establish a
UPSpace Collection that do not fall into this definition will be considered on a case-by-case basis.
Individuals may not submit items without belonging to an established Collection in UPSpace because
they do not constitute a unit.
A Top-level Community will only be created once the need therefore is expressed, and once items
become available for submission to Collection/s within that Top-level Community. Communities which
contain Collections without any content will be removed from the system by the UPSpace Manager.
For procedure please refer to the following diagram, all requests received by the IR Manager will be
shared with the relevant Information Specialist
Procedure:
Library Intranet
How to apply
Application for new
collections
Application: adding
material to
retrospective
collections
Digitisation: confer
with Digitisation
Office Manager
The policy document compiled by a Collection will represent a formal agreement with the Department
of Library Services or University of Pretoria, with regard to the fair use of UPSpace.
The information model that will be applied at the University of Pretoria is structured as follows:
Top-level Community (Faculty/School)
Sub-Community (Department/s)
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Collections (Research Articles, Focus Areas, Conference Papers &
Presentations, Conference Proceedings, Chapters from Books, Media & Communication,
Working Papers, Open Lectures, Conferences, etc.)
6.2 Responsibilities of a UPSpace Manager
At the University of Pretoria, a UPSpace Manager agrees to:
• Arrange for submission and description of content (negotiate for assistance).
• Decide on policy regarding content to be submitted (within UPSpace policy & guidelines).
• Make decisions about Community and Collection definitions and Collection membership.
• Notify UPSpace of organisational changes affecting submissions.
• Understand and observe university policies relevant to UPSpace, and educate community
submitters regarding these policies.
• Monitor and arrange for copyright clearance. Open Scholarship Office takes responsibility for
clearing copyright of research articles.
• Decide upon a submission workflow for each Collection, in collaboration with the specific
collection application.
• Decide upon a user interface for each Collection, in collaboration with the specific collection
administrator.
• Administer submitters within a Collection (register & modify submitters).
• Update information on submitters where necessary.
• Withdraw and move items when required.
• Promote UPSpace amongst potential UPSpace users.
• Coordinate and monitor overall workflow within Collection.
• Communicate important information on the Collection Homepage.
• Edit items where required; modify metadata at any stage in line with Metadata Working
Paper.
• Map items from other Collections into Collection.
• Back-up for roles within workflow.
• Create Item Templates in collaboration with Metadata Editor.
• Frequently communicate information re research available on UPSpace to the relevant
department.
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7. Responsibilities and Services offered by the Department of Library
Services, Library Information Systems & Technology and Dept. of
Information Technology
At the University of Pretoria, the Department of Library Services in collaboration with Library
Information Systems & Technology and the Dept. of Information Technology will take
responsibility for the following:
• Retain and maintain content submitted to UPSpace.
• Distribute content according to Collection decisions.
• Preserve content using accepted preservation techniques.
• Notify Collections of significant changes to content, e.g. format migration.
• Submission service: Submitters may contact upspace@up.ac.za to receive help or to inquire
about the services offered regarding UPSpace.
• Repository service: Dept. of Library Service IT Services, in collaboration with the University of
Pretoria’s IT Services when applicable will provide permanent storage, including appropriate
back-up and recovery procedures.
• Access service: Maintain an appropriate interface to browse, search, view and download
material from the repository, in line with the policy of the University of Pretoria.
• System management: The UPSpace System Administrator will maintain, administer, upgrade
and enhance the system and will enhance metadata records providing for better retrieval.
When a new version of DSpace becomes available, the system will be migrated to the most
recent version.
• Code developed and owned by the Dept. of Library Services will be donated to the DSpace
Community.
8. Rights of the Department of Library Services
The Dept. of Library Services/UPSpace retain the right to:
• Redistribute or amend metadata for items in UPSpace.
• De-accession items or Collections under certain circumstances - as outlined in the
"Withdrawal Policy".
• Refuse items or collections not within the scope of UPSpace as defined by the content that
will be accepted in UPSpace.
• Renegotiate terms of original agreement with Collections.
• Perform appraisal for long-term archiving when Collections cease to exist or within thirty
years of the creation of a Collection.
• Move Collections to reflect current agreement between UPSpace and Communities.
• Migrate items for preservation purposes or at the Department of Library Service’s discretion.
• Map/link between Communities/Collections/Items and the UP Research Report to guide the
user.
• Set quotas (size of files, number of items) to determine what constitutes fair use.
• Charge a fee for activities requiring extensive centralised support from UPSpace (for
example, for a large amount of de-accessioning).
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9. Responsibilities of the University of Pretoria
At the University of Pretoria, the university is expected to:
• Be actively committed to the preservation of research material through UPSpace.
• Provide support with regard to hardware, manpower, funding.
• Set policy at University level regarding issues that affect UPSpace, e.g. copyright rules,
image requirements, etc. Also see the Open Access mandate and policy re theses,
dissertations and mini-dissertations.
• Support functions mandated by existing policies.
10. Responsibilities of the Library Information Systems & Technology
The Library Unit Information Systems & Technology provides software support on application level
with regard to UPSpace, which include the following (See Service Level Agreement Unit Information
Systems & Technology):
Software installation and upgrading
Projects: Roll-out of Software, Networking and Hardware
Supplement or augment in-house technical skills, network administration, project
management
Their mission are amongst others to “Interpret the strategic plan of UP and the Library in order to
ensure that the necessary IT Infrastructure and programs are available in time to realize the
strategies”.
11. Licensing, Copyright, Privacy and Intellectual Property Issues
11.1 UPSpace Distribution License
When submitting an item to UPSpace, the submitter, author/s or copyright owner/s grants nonexclusive
distribution rights to the University of Pretoria. This non-exclusive distribution rights in no
way prevents an author/s or copyright owner/s from publishing the work in a research journal or
distributing it in any other fashion. The author/s or copyright owner/s retains full copyright of the work.
It is the responsibility of the submitters to gain copyright clearance where necessary, and to
familiarize themselves with the self-archiving policies of the various publishers, nationally and
internationally.
When submitting items to UPSpace, please make sure that you adhere to copyright requirements.
Ask permission before you archive material on UPSpace, and submit the letter of consent to the
UPSpace Letters of Consent Collection (http://hdl.handle.net/2263/1149) on UPSpace. Use the
"Rights" field to refer to the permission that was obtained.
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Copyright of Research articles: Policies of many publishers of research articles can be found in the
Romeo Project available at http://www.sherpa.ac.uk/romeo.php. If the publisher’s policy is not
available on this database, publishers are contacted directly to obtain permission. The letter of
consent/ no consent is then archived within the UPSpace Letters of Consent Collection. Publishers
are also encouraged to make their policies on self-archiving within institutional repositories available
on SHERPA RoMEO. See http://www.sherpa.ac.uk/romeoupdate.php
Embargoed dates applying to articles as specified by the Publishers permission will be entered in the
dc. Description embargo field and will automatically expire on the given date
Access to the UPSpace Letters of Consent Collection is restricted, since permission policies within
this collection only apply to permission granted to the University of Pretoria. Apply to be registered as
a Submitter with upspace@up.ac.za .
Copyright of UP Theses & dissertations: It is compulsory for all UP students to submit electronic copies of
their theses or dissertations to an online repository (see General Regulation G57.4(i) - page 19). UP holds the
copyright for theses and dissertations produced by its members during enrolment at the University of Pretoria.
The University of Pretoria uses the following license agreement in UPSpace:
Non-Exclusive Distribution License
In order for UPSpace to reproduce, translate and distribute your submission worldwide your
agreement to the following terms is necessary.
By submitting this license, you (the submitter, author or copyright owner, or on behalf of the submitter,
author or copyright owner) grant to the University of Pretoria the non-exclusive right to reproduce,
translate (as defined below), and/or distribute your submission (including the abstract) worldwide in
print and electronic format and in any medium, including but not limited to audio or video.
You agree that the University of Pretoria may, without changing the content, translate the submission
to any medium or format for the purpose of preservation.
You also agree that the University of Pretoria may keep more than one copy of this submission for
purposes of security, back-up and preservation.
You represent that the submission is your original work, and that you have the right to grant the rights
contained in this license. You also represent that your submission does not, to the best of your
knowledge, infringe upon anyone's copyright.
If the submission contains material for which you do not hold copyright, you represent that you have
obtained the unrestricted permission of the copyright owner to grant the University of Pretoria the
rights required by this license, and that such third-party owned material is clearly identified and
acknowledged within the text or content of the submission.
IF THE SUBMISSION IS BASED UPON WORK THAT HAS BEEN SPONSORED OR SUPPORTED
BY AN AGENCY OR ORGANIZATION OTHER THAN THE UNIVERSITY OF PRETORIA, YOU
REPRESENT THAT YOU HAVE FULFILLED ANY RIGHT OF REVIEW OR OTHER OBLIGATIONS
REQUIRED BY SUCH CONTRACT OR AGREEMENT.
The University of Pretoria will clearly identify your name(s) as the submitter, author(s) or owner(s) of
the submission, and will not make any alteration, other than as allowed by this license, to your
submission.
All items in the UPSpace collection are subject to the SA Copyright Act No. 98 of 1978 (as amended)
available at http://www.buys.co.za/publications/cyberlaw/CopyrightAct.htm
11.2 UPSpace Privacy Policy
The UPSpace Privacy Policy at the University of Pretoria states that the university is committed to
preserving privacy. The personal information the University of Pretoria receives through UPSpace is
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used solely for purposes of the functioning of the system, and for the specific research purposes as
described in the policy document.
This system collects personal information from:
1. Users involved in the submission of UPSpace content and metadata
2. Users who subscribe to the UPSpace alerting service
Personal information collected by UPSpace will not be used for any commercial or philanthropic
purpose not directly connected with or approved by the University of Pretoria.
We do not disclose information about your individual visits to our site, or personal information that you
provide us, such as your name, address, email address, telephone number, etc. to any outside
parties except when we believe, in good faith (i) that the law requires it, or (ii) that disclosure is
necessary to protect the rights and property of UPSpace users.
12. Services offered through UPSpace
The UPSpace Service will offer a set of core services, available at no charge to Community members
and consumers of UPSpace content. Services will be reviewed over time.
UP Space Core Services are comprised of two distinct but interconnected service elements,
Interactive Services and Operations Services. UPSpace Interactive Services offer a fully functional
system that allows UPSpace Community members and consumers of UPSpace content to
accomplish all tasks necessary to submit and access items in UPSpace, as applicable. Additionally,
the Dept. of Library Services in collaboration with the Dept. of IT, University of Pretoria provides
Operations Services to host and preserve faculty materials, establish and deliver ongoing support for
UPSpace Communities, respond to customer inquiries, and supply system monitoring, back up, and
recovery.
13. Preservation Policy & Support
13.1 File formats
The University of Pretoria implementation of DSpace/UPSpace attempts to support as many file
formats as possible.
UPSpace identifies two levels of digital preservation: bit preservation, and functional preservation.
Bit preservation ensures that a file remains exactly the same over time and not a single bit is
changed while the physical media evolve around it.
Functional preservation: the file does change over time so that the material continues to be
immediately usable in the same way it was originally while the digital formats (and the physical
media) evolve over time. Some file formats can be functionally preserved using straightforward format
migration (e.g. TIFF images or XML documents). Other formats are proprietary, or for other reasons
are much harder to preserve functionally.
At the University of Pretoria, for the time being, we acknowledge the fact that the formats in which
faculty create their research material are not something we can predict or control. Faculties use the
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tools that are best for their purposes, and we will get whatever formats those tools produce. Because
of this UPSpace defines three levels of preservation for a given format: supported, known, or
unsupported.
• Supported: The format will be fully supported and preserved using either format migration or
emulation techniques.
• Known: The format can be recognised by UPSpace, but full support cannot be guaranteed.
• Unsupported: The format cannot be recognised by UPSpace; these will be listed as
"application/octet-stream", aka Unknown.
When a file is uploaded to UPSpace, it will be assigned to one of those three categories. For all three
levels bit-level preservation will be done so that digital archaeologists of the future will have the raw
material to work with if the material proves to be worth that effort.
For the full text of text items to be fully searchable in UPSpace, these items must be made available
on UPSpace in any of the following formats:
Adobe PDF (only if text-based or OCRed) - without any securities added
Microsoft Word
Plain Text
HTML
13.2 Description Metadata (Administrative, Technical, Preservation)
For preservation purposes - in other words, so that we will still be able to access files submitted to
UPSpace in a 100 years time - it is very important to give a description of how the file was created in
the "Description" field of the submission form, the origin of the file etc. Also use this field to describe
the dimensions of the object, how it was digitized, etc. This kind of information will help information
architects of the future to migrate obsolete files to updated versions, so that it will still be accessible
long after our time. Any info the submitter can offer, will be of value in such a case. Also see the
guidelines in the UPSpace Quick Guide: http://www.dspace.up.ac.za/quickguide.pdf (Updated on 17
March 2008)
Example 1:
https://www.up.ac.za/dspace/handle/2263/2273
Description: Black/white wash painting technique. Original canvas size: (w)24.5 x (h)25.0 cm. Original
scanned size in pixels: 6312 x 7872 pixels (800 dpi). Final size in pixels: 550 x 436 (150 dpi).
Estimate download time: 37 sec @ 28.8 kbps.
Example 2:
https://www.up.ac.za/dspace/handle/2263/5220
Description: This paper was transferred from the original CD ROM created for this conference. The
material on the CD ROM was published using Adobe Acrobat technology. The original CD ROM was
produced by Document Transformation Technologies Postal Address: PO Box 560 Irene 0062 South
Africa. Tel.: +27 12 667 2074 Fax: +27 12 667 2766 E-mail: doctech@doctech.co.za URL:
http://www.doctech.co.za
13.3 Checksums
For each item submitted to UPSpace a checksum is generated. This checksum is used to verify the
integrity of a full text file over time. Therefore replacement of bitstreams will be restricted as far as
possible.
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To summarise - UP's policy for file formats is:
• Everything put in UPSpace will be retrievable.
• As many files formats as possible will be recognised.
• As many known file formats as possible will be supported through UPSpace.
• Formats and techniques will be continuously monitored to ensure needs can be
accommodated as they arise.
• The size of a bitstream allowed for submission is currently unlimited, but this will be revised
over time.
• All files need to be submitted in at least pdf format (open standard, recommended for
preservation purposes), and then any additional format. For media files:
Below a list of various file formats in UPSpace:
MIME type Description Extensions Level
Application/marc MARC marc, mrc supported
Application/mathematica Mathematica ma known
Application/msword
Application/octet-stream
Microsoft
Word
Unknown
doc
(anything not
listed)
known
unsupported
Application/pdf Adobe PDF pdf supported
Application/postscript Postscript ps, eps, ai supported
Application/sgml SGML sgm, sgml known
Application/vnd.ms-excel
Application/vnd.ms-powerpint
Application/vnd.ms-project
Microsoft
Excel
Microsoft
Powerpoint
Microsoft
Project
xls
ppt
mpp, mpx,
mpd
known
known
known
Application/vnd.visio Microsoft Visio vsd known
Application/wordperfect5.1 WordPerfect wpd known
Application/x-dvi TeXdvi dvi known
Application/x-filemaker FMP3 fm known
Application/x-latex LateX latex known
Application/x-photoshop Photoshop psd, pdd known
Application/x-tex TeX tex known
audio/x-aiff AIFF aiff, aif, aifc supported
audio/basic audio/basic au, snd known
audio/x-mpeg
MPEG Audio
mpa, abs,
mpeg
known
audio/x-pn-realaudio RealAudio Ra, ram known
audio/x-wav WAV wav known
image/gif GIF gif supported
image/jpeg JPEG jpeg, jpg supported
University of Pretoria
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Updated by Hettie Groenewald and Kataila Ramalibana on 6/20/2013
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image/png PNG png supported
image/tiff TIFF tiff, tif supported
image/x-ms-bmp BMP bmp known
image/x-photo-cd Photo CD pcd known
text/html HTML html, htm supported
text/plain Text txt supported
text/richtext
Rich Text
Format
rtf
supported
text/xml XML xml supported
video/mpeg
video/quicktime
MPEG
Video
Quicktime
mpeg, mpg,
mpe
mov, qt
known
known
14. Withdrawal Policy
It is foreseen that sometimes it may be necessary to remove items from the repository. Under some
circumstances items will be removed from view (withdrawn), but to avoid loss of the historical record,
all such transactions will be traced in the form of a note in the field of the
Dublin Core record. The content of the note should be one of the following:
" removed from view at request of the author"
" removed from view at the library's discretion"
" removed from view at UP's discretion"
" removed from view by legal order"
Since any repository item that has existed at some time may have been cited, we will always supply a
“tombstone” when the item is requested, which will provide a withdrawal statement in place of the link
to the object. The metadata should be visible, but not searchable. These items will be made
unavailable for metadata harvesting.
Items to be finally deleted (expunged) from the system will be considered on a case-by-case basis.
15. Workflow Policy
The University of Pretoria recognizes that Communities (schools/faculties) have very different ideas
as to how material should be submitted to UPSpace, by whom, and with what restrictions. The
following are issues that should be addressed by the Community representatives (administrators),
working together with the UPSpace Manager, and are then modeled in a workflow for each collection
to enforce their decisions.
• Who can deposit items
• What type of items will they deposit
• Who else needs to review, enhance, or approve the submission
• To what collections can they deposit material
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• Who can see the items once deposited
• What metadata fields should be included on the Submission User Interface for specific
Collections Will it be the default DSpace Submission user interface, or a customised
interface for that specific Collection
15.1 UPSpace Roles
The system has the notion of e-people who have roles in the workflow of a particular Community in
the context of a given collection. Individuals from the Community are automatically registered with
UPSpace via the UP Portal (after authentication against the LDAP Server), then manually assigned to
appropriate roles.
There are three possible roles in UPSpace as part of the workflow process: submitter, reviewer, and
metadata editor. An e-mail message is sent to each person at the appropriate step in the workflow,
with authorizations set up in advance for each role. We are committed towards processing items
within a period of six working days. UPSpace responsibilities are formally part of the
role descriptions of all Cataloguers (Metadata Editors) and Information Specialists (Collection
Administrators) at UP libraries.
Submitter permissions - Can edit metadata for own submission
- Can upload files for own submission
- Cannot do anything once item is submitted
Reviewer permissions
(optional)
(Accept/ Reject/ Edit
Metadata)
Metadata Editor
permissions
(optional)
(Edit Metadata)
Collection
Administrator
permissions
- Can review content of all files submitted to collection
- Can edit baseline metadata of all items
- Can accept or reject all submissions to collection
- Can send a message explaining decision
- Rejection will stop submission. Possible reasons: duplicates, item
does not adhere to UPSpace policy/ collection policy, incorrect
version of file/ file naming, formatting incorrect, etc.
- Acceptance will let submission go to next step
- Can edit metadata of all submissions to collection
(Cannot change files)
- Can edit metadata of all submissions to collection
- Add LCSH to each item submitted
- Submission automatically becomes part of DSpace after this step
- (Any approval would have happened before)
- Primary responsibility to communicate to departments
- Identify opportunities
- Monitor activities within Collections
- Create Item Template in collaboration with Metadata Editor
- Update Collection Home Page
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15.2 Workflow
Below a demonstration of the UPSpace automated workflow:
Copyright
clearance
Research articles: openUP
All other: UP Copyright Officer
Digital format
Prepare document & digitize if not born digital
Submitter
submits
Information Specialists/ Research Assistants/ Researchers/Other
Reject if it doesn’t adhere to policy
Reviewer
Collection Administrator/ Subject Expert
Metadata Editor
Library Cataloguer
Available on UPSpace
UPSpace Manager, Collection Manager = Faculty Library Manager; Collection Administrator = Information Specialist
Digitisation & Metadata Specialists play an advisory role in Digitisation & Metadata Editing processes
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16. Persistent Identifiers in UPSpace
UPSpace uses the Handle System from CNRI to assign and resolve persistent identifiers for each
and every digital item. Handles are URN-compliant identifiers, and the Handle resolver is an opensource
system which is used in conjunction with the DSpace (UPSpace) system.
Handles in DSpace are currently implemented as URLs, but can also be modified to work with future
protocols. Additional development work would be required to adopt some other form of persistent
identifiers.
When citing items within the repository, end-users are required to use the persistent URL as indicated
on the Item Display of each item.
17. Metadata Standards
Submitters can access UPSpace via the UP Portal, metadata can be entered into UPSpace, stored in
the database, indexed appropriately, and made searchable through the public UPSpace UI. At the
present time, this applies mainly to descriptive metadata, although as standards emerge it could also
include technical, rights, preservation, structural and behavioral metadata.
Currently DSpace supports the Dublin Core metadata element set, and other sets can be imported.
UPSpace has been registered with OAISTER (http://oaister.umdl.umich.edu/o/oaister/ ), a metadata
harvester harvesting the digital resources of an institution like the University of Pretoria. Through
OAISTER freely available, previously difficult-to-access, academically-oriented digital resources that
are easily searchable by anyone will be made available to the rest of the world.
Metadata from items are also retrievable via Google and GoogleScholar, and the repository has been
registered with the following:
DRIVER
Institutional Archive Registry
DSpace
Open Archives Institute
openDOAR
ROAR
Wikipedia
UP Dept of Research
UP Library Catalogue
Webometrics
Facebook etc.
A Metadata Specialist has been assigned. This person has the responsibility to monitor the overall
quality of metadata within UPSpace, and plays and advisory role with regard to metadata decisions.
The Metadata Specialist has rights to editing the metadata of any item within the repository.
LCSH’s are assigned to each item within the repository. Rationale for assigning LCSH’s: For retrieval
purposes it is very important to group material that belongs together by assigning responding
keywords or subjects. This is even more important within a digital environment. The reason being that
one should be able to create a hyperlink to a search result in UPSpace, based on certain search
criteria.
University of Pretoria
UPSpace User Policy Version 3.2
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18. Provenance data tracked by UPSpace
The following data is tracked by the system:
• Creation of item, collection, or community
• Changes re accessibility, format, organizational (per item, per collection and per community)
• Withdrawal of item, collection, or community
19. Authentication in UPSpace
Browsing and downloading items from UPSpace is open to the WWW Community, unless access to
an individual Community, Collection or Item is restricted to registered users only. Restriction to a
specific Community/Collection will be indicated on the home page of that specific
Collection/Community, and to a file (bitstream) in the Description metadata field.
Submission rights will be granted by the UPSpace Manager and UPSpace Systems Administrator on
the UPSpace server hosted at the Library.
20. UPSpace Server Details
The UPSpace Quality Assurance Server (also referred to as QA Server) is the server on which we
usually test changes before we go into production and deploy changes on the live server. It is only
available on campus. Please contact the Systems Administrator for access to the QA Server
(upspace@up.ac.za).
The Production Server is running an VMWare host. The details of the host is as follows:
Operating System: VMWare ESXI 5.0
Model: Dell PowerEdge R310
Processor: Intel Xeon X3470 @ 2.93GHz
CPU Cores: 4
RAM: 16 GB
Production Server details:
Operating System: Ubuntu 11.10, 10GB Ram, 300GB HDD
21. Service Level Agreements re System Availability & System Backup
The backup of the UPSpace System is the responsibility of the IT Service Unit, UPLS, University of
Pretoria. Back-up’s of the UPSpace system (all data, incl. the databasis, bitstreams and metadata)
are done on and off campus.
Master copies of archival material (i.e. unique material after being digitized) are stored on the Archival
Server, in tiff format.
University of Pretoria
UPSpace User Policy Version 3.2
Updated by Hettie Groenewald and Kataila Ramalibana on 6/20/2013
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22. Communication
ePersons and other UPSpace members are encouraged to make use of the internal UPSpace mailing
list: upspace@kendy.up.ac.za
Ground rules for this mailing list
1. Mail to the group should be of broad interest to the group as a whole.
2. Please be conscientious of the volume of mail posted. Send personal mail directly to the person
concerned.
3. No flaming! Any messages of complaint about another subscriber should be sent directly to that
person.
4. The writings and opinions posted to the mailing list are strictly the opinions of the writer and do not
contain any endorsements or guarantees of any kind, unless otherwise noted.
5. Postings that could be construed as defamatory, libelous, or offensive to individuals, organizations, or
institutions should not be posted to this list.
6. Membership on this list constitutes an undertaking to abide by these ground rules and to be considerate
of other members when posting mail to the list.
Owner & Administrator: IR Manager
For direct e-mail communication:
All UPSpace Inquiries/ Requests
upspace@up.ac.za
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