Digital Preservation at Tulane University Libraries

The Tulane University Libraries’ Digital Preservation Framework is the foundational document of Tulane University Libraries’ Digital Preservation Program. The Framework forms the basis of the Libraries’ Digital Preservation Program, outlining the structures in place that contribute to the long-term preservation of Tulane University Libraries’ digital assets. The scope of the Libraries’ approach to digital preservation is defined here, and the policies, objectives, strategies, and commitments related to digital preservation at Tulane University Libraries are summarized.

The Libraries apply the same fundamental principles of appraisal, control, and preservation to digital assets as they do to physical materials. Curators, collection managers, and subject specialists guide these decisions with input from Digital Scholarship and Information Technology staff and look to balance depth with sustainability in their collecting practices, prioritize that which has enduring value, and be cognizant of the limitations of our systems. These practices are in line with and informed by this framework as well as Tulane University Libraries’ Strategic Plan and Mission, Vision, and Values.

The Digital Preservation Framework is descriptive, rather than prescriptive, and does not include explicit discussions of all the activities, practices, and strategies that make up the Tulane University Libraries’ Digital Preservation Program. The Framework provides a high-level view of the Libraries’ approach to digital preservation and will be supplemented with additional documentation that expands specific aspects of the Libraries’ Digital Preservation Program.

 

In achieving its digital preservation objectives, the Tulane University Libraries recognizes the need to comply with the prevailing standards and practice of the digital preservation community. TUL is committed to developing its digital preservation policies, repository, and strategies in accordance with the Open Archival Information System (OAIS) Reference Model (CCSDS 650.0-P-1.1 2009). In addition, TUL intends to align its policy, procedures, and practices with the Trustworthy Repositories Audit & Certification (TRAC) standard (ISO/DIS 16363). As part of executing policy at the operational level, TUL will also define object level strategies and standards. For example, object level strategies might include migration or emulation.

 

Under the direction of the Dean and administration of Tulane University Libraries, the Digital Preservation Program is tasked with creating and implementing an array of digital preservation strategies that will safeguard the Libraries’ digital assets.

3.1 Mandate

The Libraries’ obligation to provide long-term preservation of its digital assets originates from a variety of sources:

• Organizational commitment: As noted in the Libraries’ vision statement, Tulane University Libraries is committed to the university’s past, present, and future, and seeks to support researchers at a global level. Tulane University Libraries’ Kaleidoscope 2023-2028 expresses a commitment to expanding digital collections and resources, which will include investing in digital infrastructure (as part of Phase 2 of the Kaleidoscope Phases of Growth and Improvement).
• Institutional scholarly record: As mandated by Tulane University, the Tulane University Libraries must ensure the digital preservation of all electronic theses and dissertations accepted by the university. After April 2022, no paper copies of theses and dissertations were submitted to the University Archives, meaning these documents exclusively exist as digital assets.
• Contracts: Tulane University Libraries has contractual agreements that can require the Libraries to assume partial or full responsibility for preserving specific digital materials. This can include, but is not limited to, stipulations made in grants and donor agreements.

 

3.2 Objectives

The Digital Preservation Program seeks to establish long-term preservation of select digital assets that are under the stewardship of Tulane University Libraries. The objectives of the Program include, but are not limited to:

• Preserve digital content of enduring value.
• Comply with preservation community standards and best practices
• Stay abreast of the digital preservation landscape; research and implement emerging methods and technologies as it relates to digital preservation
• Advocate for sustainable funding and resources to support the program
• Communicate importance of digital preservation to the Tulane community at large
• Consider environmental implications of preservation activities and balance sustainability with organizational needs
• Supporting collecting initiatives of the Libraries as a whole
• Continually consider and mitigate risks to collections, resources, and systems

 

Tulane University Libraries are committed to the active preservation of digital assets of enduring value under their stewardship, ensuring usability for research, teaching, and learning. Digital preservation is incorporated into the library’s operations and planning, encompassing all stages of the digital content lifecycle. Recognizing the environmental impact of digital preservation, the libraries strive to implement sustainable practices where feasible.

 

4.1 Scope

A key responsibility of the digital preservation program is to identify, secure, and facilitate the long-term accessibility of digital assets managed by Tulane University Libraries. However, due to practical constraints, the preservation efforts outlined do not extend to all digital assets created or acquired by the libraries. The selection of materials for preservation is guided by existing university and library policies, including:

• the collection development policies of Tulane University Libraries and affiliates,
• strategic plans set by the university and the libraries, and
• any additional policies or plans developed in the future.

The preservation program encompasses materials produced by Tulane University Libraries and affiliates, scholarly works that contribute to the university’s academic record, digital reproductions of physical collection materials, and born-digital collections. This includes:

• Digitized materials and their associated metadata
• Collections or items for which Tulane University Libraries assumes a curatorial role
• Electronic theses and dissertations (ETDs)
• Born-digital archival and library collection materials, along with associated metadata

Certain materials fall outside the scope of this program, such as:

• Internal working documents or active administrative records
• Access copies of digital archives or digitized materials
• Software, databases, or other technological tools used by library staff

Instead of restricting preservation efforts solely to formats with established approaches, each file format is assigned a preservation level. As new formats emerge, Tulane University Libraries will continue to evaluate, define, and communicate their preservation level.

The selection process applies to both new and existing digital materials, whether born-digital or converted from analog formats. Preservation assessments of existing materials will be conducted based on priorities and available resources.

 

4.2 Operating Principles

Tulane University Libraries follows these actions and principles to guide the digital preservation program:

• Access: Long-term access to selected digital content is the goal of preservation activities.
• Authenticity: Implement procedures that meet the archival requirements relating to provenance, chain of custody, authenticity, and the integrity of digital assets.
• Collaboration: Engage with colleagues, stakeholders, and vendors to develop scalable and effective preservation strategies whose success will be measured periodically. Investigate and establish new or additional partnerships or agreements as deemed beneficial to Tulane University Libraries.
• Intellectual Property, Privacy, and Security: Define policies that respect intellectual property rights, address privacy concerns, and prioritize data security to mitigate risks of loss or damage due to human error or environmental factors.
• Scalability: Recognize that digital preservation must adapt to a wide range of variables, including file formats, metadata, accessibility requirements, and technological evolution. The libraries seek scalable solutions that balance preservation needs with available resources.
• Standards and Best Practices:
  • Align metrics with the Trustworthy Repositories Audit & Certification (TRAC)
  • Comply with the Open Archival Information System (OAIS) reference model
  • Follow recognized community-based standards for digital preservation
  • Contribute to the development and refinement of preservation standards.
• Sustainability: Establish a cost-effective and transparent digital archive with auditable processes.
• Technology:
  • Develop a digital archive that is scalable, flexible, and reliable.
  • Implement storage solutions that include online, near-line, and offline options, as necessary.
  • Manage digital storage media, hardware, and software according to industry standards for environmental, quality control, security, and other standards.
• Training: Provide training for and raise awareness about digital preservation among colleagues.
• Transparency: Develop well-documented policies, procedures, and practices for preservation efforts in the libraries.

 

4.3 Roles and Responsibilities

Within Tulane University Libraries, the Digital Preservation Librarian will serve as the primary contact for questions and concerns regarding digital preservation policies and practices. This librarian may convene a group of librarians and staff representing Digital Scholarship & Initiatives, Technical Services, Library IT, and Tulane University Special Collections (TUSC), The Latin American Library (LAL), and Media Services, among other relevant colleagues as needed to address digital preservation issues. Additionally, the Associate Dean of Digital Scholarship and Distinctive Collections will oversee high-level policy documentation and will review programmatic plans and overall progress.

 

4.4 Selection and Acquisition

The collection development policies of Tulane University Libraries set the criteria and priorities for acquiring content for the libraries. The digital assets under the stewardship of Tulane University Libraries are subject to the same overarching criteria for curation, selection, management, and preservation as other material assets in its collections. Collection specialists provide expertise regarding the enduring value of content. The Digital Preservation Librarian plays a crucial role in shaping acquisition strategies by:

• Monitoring and evaluating preservation levels for different file formats, including emerging formats.
• Maintaining documentation that assists in the selection and management of digital assets.

 

4.5 Access and Use

Digital content is preserved and made accessible using the most appropriate technology available at the time of use. When necessary, emulation techniques may be employed to replicate the original look and functionality of digital assets. Preservation efforts comply with all relevant legal, regulatory, and licensing requirements. Appropriate preservation plans to make rendering the original version possible are devised on a case-by-case basis and revised as needed.

Tulane University Libraries (TUL) dedicates specific resources to ensure the sustainability of its digital preservation initiatives. 

 

5.1 Institutional Commitment

TUL allocates a portion of its budget to support digital preservation services and seeks external funding opportunities to expand the scope and capabilities of its preservation efforts.

 

5.2 Cooperation and Collaboration

TUL actively collaborates within the University and with external institutions to:

• Enhance the development of its digital preservation program.
• Share knowledge and experiences with other digital preservation initiatives.
• Broaden its expertise in digital preservation.
• Expand access to digital content through cooperative efforts, benefiting a wider information community and library users.

TUL will engage in numerous digital preservation projects and activities involving partnerships and collaborations within the libraries, across campus, and on a national scale.

 

Tulane University Libraries is committed to providing long-term access to all content deposited by stakeholders by applying best practices while also acknowledging complexities in preserving digital information. From the outset, we commit to providing basic services including secure storage, backup, metadata management, file integrity (via fixity-checks), and periodic refreshment by copying the data to new storage media. Determination of the level of support for assets of enduring value involves input from stakeholders throughout the digital asset lifecycle. Determination of what level of support is assigned to the content will also be guided by criteria such as uniqueness, relative risk of loss, and feasibility and/or cost of preservation. 

 

6.1 Levels of support 

Support levels are determined by applying a set of evaluation criteria, including prevalence of the file format in the marketplace, whether the format is proprietary, the availability of tools for emulation or migration and the availability of local resources to take specific preservation actions. The Library will undertake appropriate format monitoring and provide adequate staffing and other resources to support the services offered at each level. It is understood that services and management by staff will be dependent on the digital preservation system in place.

 

Tulane University Libraries recognizes the critical importance of safeguarding its digital assets, ensuring that these resources are protected from unauthorized access, use, or alteration. Our goal is to maintain the privacy of content creators, ensure the integrity of digital content, and uphold the overall mission of Tulane University Libraries in fostering academic, research, and cultural growth, while keeping in mind the policies and guidelines established by Campus IT. This commitment to security is designed to align with the standards set by Campus IT, and this section outlines the policies and procedures for securing digital content, infrastructure, and systems in accordance with those guidelines.

 

7.1 Systems Security
 

Tulane University Libraries is dedicated to maintaining a secure and reliable digital preservation infrastructure that meets or exceeds both Tulane University’s standards and industry best practices. The security measures implemented are designed to protect digital content from unauthorized access, corruption, or misuse, while ensuring its continued availability for authorized users. Our systems security approach will be guided by the principles outlined in Tulane IT Information Security Documentation.

Key elements of systems security include

• Access Control and Authentication: Strict access control mechanisms will be in place to limit access to digital content and preservation systems. Multi-factor authentication (MFA), role-based access, and the principle of least privilege will be employed to ensure that only authorized personnel have access to sensitive data or administrative functions.
• Regular Software and Security Updates: Systems will be maintained with up-to-date software, including security patches, to address vulnerabilities as soon as they are identified.

 

7.2 Disaster Recovery

Tulane University Libraries views the digital preservation infrastructure as a mission-critical component of its operations. As such, robust disaster recovery and business continuity strategies will be in place to ensure the resilience and availability of digital collections, even in the event of system failure, natural disasters, or cybersecurity breaches.

Key components of the disaster recovery framework include:

• Redundancy and Data Replication: The digital preservation infrastructure will be built with redundancy in mind. This includes redundant storage systems, geographically dispersed backups, and failover systems to ensure minimal service interruption.
• Backup and Retention Policies: Digital content will be backed up in multiple formats and locations to ensure the integrity of the content is maintained during a disaster. Retention policies will ensure that backups are available for the required length of time and can be restored quickly if needed.

 

7.3 Authenticity and Integrity

Tulane University Libraries is committed to preserving the authenticity and integrity of digital content throughout its lifecycle. This process is paramount in maintaining the trust of users and creators who rely on the accuracy and reliability of the information stored within our digital preservation infrastructure.

Key strategies for ensuring authenticity and integrity include:

• Periodic Audits and Reviews: Regular audits of digital content will be performed to verify its integrity. These audits will include both automated systems and manual reviews to identify and address potential issues related to content authenticity.
• Metadata Validation: Tulane Libraries will utilize metadata validation strategies to ensure that digital assets are accurately described and classified. The accurate recording of metadata ensures that all preserved content can be traced back to its origin and fully understood within its intended context.
• Provenance Tracking: Comprehensive metadata and provenance records will be maintained for all digital assets, documenting their origin, changes, and storage history. This information ensures that the content’s lineage is traceable and transparent, confirming the authenticity of digital assets

 

7.4 Privacy and Confidentiality

In addition to the measures related to security and authenticity, Tulane University Libraries is committed to safeguarding the privacy of individuals associated with the digital content. All systems will be designed to respect privacy laws and policies, including FERPA, HIPAA, and other applicable regulations related to the protection of sensitive data as outlined by Tulane Campus IT. 

Key actions to ensure privacy include:

• Anonymization and Pseudonymization: Where needed, personally identifiable information (PII) will be anonymized or pseudonymized to reduce privacy risks while maintaining the value of the digital content.
• User Access Controls: Sensitive data will have more stringent access controls. Roles and permissions will be carefully assigned to ensure that only authorized individuals can access confidential or restricted information.

By implementing these practices, Tulane University Libraries aims to provide a secure, reliable environment for the long-term preservation and accessibility of digital content, fostering trust and confidence among creators, users, and the broader academic community.

 

8.1: Audit and Transparency

The Digital Preservation Framework will be reviewed and updated one year after its ratification in 2025, and then on a two-year cycle after that. The dates that reviews and updates occur will be recorded in Section 8.2 (Policy Framework Administration).

8.2.  Policy Framework Administration

The first draft of this document was prepared on February 13, 2025; the final version was ratified on March 27th, 2025.

8.3: Glossary

In late 2024, the Libraries’ Digital Preservation Working Group compiled a glossary of terms and abbreviations related to digital preservation. 

8.4: References

Tulane University Libraries’ Digital Preservation Framework was adapted from several sources including the:

1. University of Minnesota Libraries’ Digital Preservation Framework. Special acknowledgment which this document was modeled on. https://libguides.umn.edu/dp/framework
2. ICPSR Digital Preservation Policy Framework developed by Nancy McGovern
3. Northwestern University Libraries’ Digital Preservation Policy www.library.northwestern.edu/about/administration/policies/digital-preservation-policy.htm
4. National Archives and Records Administration’s Digital Preservation Strategy 2022-2026, www.archives.gov/preservation/digital-preservation/strategy.
5. University of Illinois Urbana-Champaign University Library’s Digital Preservation Support Policy guides.library.illinois.edu/ideals/digital_preservation_support_policy
6. University of Michigan, 29 Nov. 2023, www.icpsr.umich.edu/web/pages/datamanagement/preservation/policies/dpp-framework.html