Illinois Data Bank Policy Framework and Definitions

Policy Framework

About the Illinois Data Bank

The Illinois Data Bank is a file-based repository for research data at the University of Illinois at Urbana-Champaign. The Research Data Service and associated staff, located within the University Library, assumes responsibility for the operation and policies of the Illinois Data Bank.

The Illinois Data Bank's mission is to centralize, preserve, and provide persistent and reliable access to the research data created by affiliates of the University of Illinois Urbana-Champaign, such as its faculty, academic staff, and graduate students. The Illinois Data Bank is intended to be responsive to the Illinois research community, is supported by the University of Illinois Urbana-Champaign, and endeavors to be both durable and sustainable. The Illinois Data Bank is a platform for making Datasets created from research projects by University of Illinois Urbana-Champaign researchers publicly accessible by seeing that the research data is both widely discoverable and linked to associated works, such as journal articles, source code, or data deposited elsewhere. Depositing research data into the Illinois Data Bank is voluntary.

The Illinois Data Bank is intended to provide maximum public access to unrestricted research data for the advancement of scholarship and the public good in ways that are consistent with the U.S. President's Office of Science and Technology Policy ("OSTP") Public Access Memo of 2013. The University of Illinois Urbana-Champaign maintains its commitment to seeing that restricted data are not inappropriately or inadvertently disclosed, consistent with all requirements pertaining to the collection, storage, access, use, transmission, and disposal of sensitive data. Researchers are obligated to be vigilant in seeing that such restricted data is not made publicly accessible through the Illinois Data Bank or any other unmediated public access mechanism.

Illinois Data Bank Policies

The following policy documents govern the obligations of the Illinois Data Bank service and users:

Review of Policies

The Illinois Data Bank policies are intended to be dynamic and flexible documents, responsive to changes in the academic environment and attentive to the work of other campus units and programs such as the Illinois Digital Environment for Access to Learning and Scholarship (IDEALS), the University Archives, the Records & Information Management Services, Technology Services, the Office of the Vice Chancellor of Research, and the National Center for Supercomputing Applications. The Research Data Service staff will review all policies on a quarterly basis during the Illinois Data Bank's first year (May 2016-May 2017). In subsequent years, the policies will be reviewed as needed, and at least annually. All past versions of each policy will be maintained in IDEALS (http://hdl.handle.net/2142/91039). The Research Data Service will strive to see that any Dataset deposited in the Illinois Data Bank remains subject to the Illinois Data Bank policies that are in place on the date the Depositor of that Dataset accepts the Deposit Agreement. The Director of the Research Data Service manages the Illinois Data Bank policies, including the approving of any revisions and/or exceptions to these policies. The Associate University Librarian for Digital Strategies serves as an alternate manager of the Illinois Data Bank policies should an alternate manager be required for any reason.

Definitions

The following are simplified definitions of terms as they are used in Illinois Data Bank policies. Sources are provided where possible; please note that many definitions have been adjusted to reflect the specific context of the Illinois Data Bank.

Creator(s) ¹

synonym: Author(s)

An individual or group of individuals who make, conceive, reduce to practice, author, or otherwise make a substantive intellectual contribution to the creation of intellectual property (e.g., Datasets).

Data

Factual material commonly accepted in a given research community as necessary to validate or extend research findings. Data may be qualitative, in the form of literature, interviews, observations, etc., or quantitative, in the form of numerical, spatial, measurements, etc.

Data File

File of Data that enables ready inspection and/or reuse of the Data in visualization tools, analysis software, or analysis scripts.

Dataset ²

An intentional collection of Data Files and/or Metadata Files together with the associated Descriptive Metadata.

Note: A Dataset may be as simple as a single Data File and/or Metadata File and the associated Descriptive Metadata. A Dataset could also be a package of any combination of raw, semi-processed, or aggregate Data Files, relevant processing and analysis scripts, and Metadata Files such as a readme file.

Dataset Publishing

The process of making a Dataset publicly available, discoverable, and citable independent of other research publications such as a journal article.

Deaccessioning ³

The process by which the Illinois Data Bank removes Data Files and/or Metadata Files from its holdings after the initial commitment period ends if recommended after conducting a Preservation Review.

Note: See the Illinois Data Bank Preservation Review, Revision, Retention, Deaccession, and Withdrawal Procedure and Preservation Review Guidelines for more details about reviewing, revising, retaining, deaccessioning, and withdrawing in the Illinois Data Bank.

Depositor

The person depositing a Dataset into the Illinois Data Bank where the Depositor is a Creator (e.g., has made a substantive intellectual contribution to the creation) of the deposited Dataset or is authorized by such a Creator to act on his/her behalf. At least one of the Creators of such a Dataset must be affiliated with the Urbana-Champaign campus of the University of Illinois before a Creator or someone acting on behalf of a Creator can deposit into the Illinois Data Bank.

Descriptive Metadata

The information about the Dataset being deposited in the Illinois Data Bank, such as Dataset Creator(s), title, funder, etc.

Note: Descriptive Metadata is initially provided by the Depositor during the submission process. Modifications to the Descriptive Metadata can be made after a Dataset is published by the Depositor and/or the Research Data Service staff.

Digital Object Identifier ⁴

abbreviation: DOI

A Digital Object Identifier (DOI) is a unique alphanumeric string assigned by a registration agency (the International DOI Foundation) to identify content and provide a persistent link to its location on the Internet.

Digital Preservation ⁵

Policies, strategies, and actions to allow access to digital content over time regardless of the challenges of media failure and technological change. The goal of digital preservation is the accurate rendering of content over time.

Disposition ⁶

Retention, transfer, or discard of Data Files, Metadata Files, and/or Descriptive Metadata as determined through Preservation Review.

Note: See the Illinois Data Bank Preservation Review, Revision, Retention, Deaccession, and Withdrawal Procedure for more details about reviewing, revising, retaining, deaccessioning, and withdrawing in the Illinois Data Bank.

Long-Term Contact Person ⁷

synonyms: Corresponding Author, Corresponding Creator

A person who serves as the primary contact and information provider for third parties wishing to find out more about a specific Dataset.

Note: This person generally carries ultimate responsibility for the validity of the Dataset and is most often a faculty member and/or Principal Investigator ("PI") of the project under which the Dataset originated.

Metadata File

File that provides information about a Data File(s) pertinent to the understanding, inspecting and/or reusing of the Data File(s), including descriptive information, documentation, technical specifications, readme files, provenance, and rights information.

Owner

The individual, organization, or other entity that owns the intellectual property rights to the Dataset.

Note: Nothing in these Illinois Data Bank Policies shall be considered as enlarging or reducing the ownership rights of the Creators of the Datasets.

See the University's General Rules, in particular Article III, Sections 5, 4, 2(a) and 2(d) regarding ownership. ⁸

Preservation Review

Assessment of the long-term viability of Datasets published in the Illinois Data Bank that may result in retaining, escalating preservation activities for, transferring, or discarding the Dataset.

Provenance ⁹

Information regarding the origins, custody, and ownership of a Dataset.

Publication Delay Period ¹⁰

synonym: Embargo Period

The period of time during which public access to all or part of a Dataset is not yet allowed.

Note: The Illinois Data Bank supports publication delay periods for just the Data Files and/or Metadata Files only or for the entire Dataset. The items under publication delay are released to the public on a date specified by the Depositor.

Steward ¹¹

The individual, organization, or other entity that is financially and functionally responsible for the organization, Digital Preservation, transfer, and Disposition of a Dataset.

Note: The Illinois Data Bank assumes stewardship responsibility for all Datasets deposited into the Illinois Data Bank.

Withdrawal

The process by which the Illinois Data Bank removes public access to all or part of a Dataset from its holdings for a compelling reason before the initial commitment period ends.

Note: See the Illinois Data Bank Preservation Review, Revision, Retention, Deaccession, and Withdrawal Procedure for more details about reviewing, revising, retaining, deaccessioning, and withdrawing in the Illinois Data Bank.

References

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Policy Framework and Definitions

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor changes made: -Minor formatting and wording adjustments. -Addition of clause clarifying who serves as an alternate manager of the Illinois Data Bank policies should an alternate manager be required. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.2	Policy reviewed. Minor changes made: -Fixed typos. -Addition of synonym to “Long-Term Contact Person” definition.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2019-06-20
1.3	Policy reviewed. Minor change made: -Wording change on the title of alternate manager of the Illinois Data Bank	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Access and Use Policy

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Purpose of this Policy

The document outlines the Illinois Data Bank's commitment to facilitating access and use of University of Illinois at Urbana-Champaign research data, describes the mechanisms the Illinois Data Bank implements to fulfill this commitment, and provides those accessing Datasets from the Illinois Data Bank guidance on determining usage rights associated with each Dataset.

Dissemination of Content

The goal of ensuring dissemination of Datasets published in the Illinois Data Bank is fundamental to the Illinois Data Bank's mission. In order to uphold the Illinois Data Bank's commitment to facilitating access and use of University of Illinois Urbana-Champaign research data, the Illinois Data Bank disseminates its contents through as many means as possible including:

• Facilitating the indexing of Descriptive Metadata by search engines.

• Providing persistent URLs and assigning Digital Object Identifiers (DOIs) for reliable citing and discovery of published Datasets.

• Registering Descriptive Metadata with the DataCite Metadata Store (https://mds.datacite.org) for discovery of the content by harvesters and individuals seeking public information about Datasets.

The Illinois Data Bank is committed to investigating and implementing new methods for further dissemination of its contents as warranted.

Access to Content

Datasets published in the Illinois Data Bank are discoverable and openly available to anyone with access to the World Wide Web. Data Files and Metadata Files are provided at least in the original format deposited. When appropriate, items in proprietary formats may be converted to formats that can be opened and read using freely available software. When Data Files and/or Metadata Files in a Dataset are made available in a converted format, Research Data Service staff will document the conversion in the Dataset's associated Descriptive Metadata and/or Metadata File(s).

Tracking Use of Content

The Illinois Data Bank uses Google Analytics, a web analytics service provided by Google, Inc. ("Google"), which collects information, including device information and IP addresses, using cookies or similar technologies. The information collected will be transmitted to, and stored by, Google on servers in the United States. Google will use this information to support the University in evaluating use of the Illinois Data Bank website, compiling reports on website activity for website operators, and providing other services relating to website activity and Internet usage. Google may also transfer this information to third parties where required to do so by law, or where such third parties process the information on Google's behalf.

Illinois Data Bank users who do not want their data collected by the Google Analytics may wish to block the service by installing the Google Analytics opt-out browser add-on (https://tools.google.com/dlpage/gaoptout). This add-on instructs the Google Analytics JavaScript (ga.js, analytics.js, and dc.js) to prohibit sending information to Google Analytics. Please note that refusing the use of cookies or disallowing Javascript, either by selecting the appropriate settings on your browser or by installing various third-party add-ons or extensions, may impede the ability to use the full functionality of this website.

Users of the Illinois Data Bank consent to the collection and storing of data about the users by Google in the manner and for the purposes set out above.

For more information, please read:

• The University of Illinois Web Privacy Notice (http://www.vpaa.uillinois.edu/policies/web_privacy.cfm)

• Google Analytics privacy policy (http://www.google.com/analytics/learn/privacy.html)

• Google Analytics opt-out browser add-on (https://support.google.com/analytics/answer/181881)

• More about cookies (http://en.wikipedia.org/wiki/HTTP_cookie)

Copyright and Licensing

Creators of Datasets deposited in the Illinois Data Bank to which copyright applies (see Illinois Data Bank Help section: Research Data Copyright and Licensing)

Datasets in Illinois Data Bank may be in the public domain or under a license that explicitly allows specific uses of the content. The Illinois Data Bank requires that Depositors define a license for their Dataset at the time of submission, and licensing information is displayed in the Descriptive Metadata for each Dataset. Creative Commons (that is, in this case CC0 or CC BY) licenses are currently recommended as these licenses are emerging as best for facilitating Dataset re-use (see Illinois Data Bank Help section: Research Data Copyright and Licensing for more information). However, given the complicated and evolving nature of Dataset licensing, Depositors may also define any license of their choosing by uploading a license.txt file (which describes the license they choose to apply) when uploading their Data Files and other Metadata Files. This file may include, but is not limited to, other Creative Commons licenses, The University of Illinois/NCSA Open Source License, or a non-standard license. The Illinois Data Bank is not responsible for the legality, enforceability, or accuracy of Depositor-supplied license.txt files and is not accountable for any terms found within the license.txt file.

If copyright terms for, or ownership of, the submission change, it is the responsibility of the Depositor to notify the Illinois Data Bank of these changes.

The Illinois Data Bank waives any and all rights the Illinois Data Bank might have with respect to Descriptive Metadata in the Illinois Data Bank. To the extent that the Illinois Data Bank's own contributions to selecting and arranging Descriptive Metadata may be protected by copyright, the Illinois Data Bank dedicates such contributions to the public domain pursuant to a CC0 Public Domain Dedication.

Acknowledgements

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Access and Use Policy

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor changes made: -Minor wording changes. -Descriptive Metadata public domain dedication added. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-11
1.2	Policy reviewed. Minor change made: -Minor formatting change.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2019-06-20
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Illinois Data Bank Accession Policy

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Purpose of this Policy

This document explains what the Illinois Data Bank can accept for publication.

Criteria for Depositing

Datasets deposited into the Illinois Data Bank must either be generated through the course of a research project or deposited with an expectation that public availability will allow the Dataset to be used for research purposes. Research data is defined through the federal Office of Management and Budget 2 CFR Part 215 – Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations (OMB Circular A-110) (https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/circulars/a110/2cfr215-0.pdf) as:

"(i) Research data is defined as the recorded factual material commonly accepted in the (scientific) community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of (scientific) papers, plans for future research, peer reviews, or communications with colleagues. This 'recorded' material excludes physical objects (e.g., laboratory samples). Research data also do not include:

In nearly all circumstances, only Datasets, consisting of Data Files together with the associated Descriptive Metadata and any associated Metadata Files, are deposited into the Illinois Data Bank. However, there may be rare circumstances where approval is given by the Director of the Research Data Service to deposit a Dataset consisting of just Metadata File(s) and associated Descriptive Metadata.

Datasets deposited in the Illinois Data Bank must meet the following criteria:

• While Datasets need not be exclusively created at the University of Illinois at Urbana-Champaign, at least one researcher from the University of Illinois Urbana-Champaign campus with an active NetID must have made, conceived, reduced to practice, authored or otherwise made a substantive intellectual contribution to the creation of the Dataset.

• Datasets must be deposited for open, public access, which means that anyone may download and reuse all or part of a Dataset in accordance with the license indicated by the Depositor. Depositors may define a Publication Delay Period (also known as an Embargo Period) with a maximum Publication Delay Period of 12 months, except on rare occasions where the Director of the Research Data Service can consider a longer Publication Delay Period based upon extenuating circumstances, such as for the purpose of seeking patent protection.

• Datasets must only contain unrestricted content with NO private, confidential, or other legally protected information.

• The Depositor must have or be able to furnish on demand the rights or permissions to share any part of a Dataset obtained from a third party. It is the responsibility of the Depositor to have the necessary rights or permissions to share any content not generated by the Depositor.

• The maximum total size of deposited Datasets cannot exceed 2 TB per University of Illinois at Urbana-Champaign faculty member or Principal Investigator in a given 12-month period unless the Director of the Research Data Service has approved special arrangements.

• Data Files must be deposited with Descriptive Metadata to facilitate discovery of the Datasets. Depositors are strongly encouraged to deposit Metadata Files along with Data Files and Descriptive Metadata that meet minimum standards as outlined in the Illinois Data Bank Help section: Dataset Documentation to facilitate interpretation and reuse of the Data Files.

• A Long-Term Contact Person, similar to a "corresponding author," who is knowledgeable about the Dataset and assumes responsibility for its validity must be identified in a Dataset's Descriptive Metadata before publication of the Dataset.

• The Dataset must be in a final state that is not subject to revisions or updates.

Quality Control

The Illinois Data Bank does not attempt to judge the scholarly quality of the Dataset. The Research Data Service staff trust the judgment and research expertise of those who created and deposited it. Thus a determination of the research quality is at the discretion of, and also the responsibility of, the Long-Term Contact Person, as named in the Descriptive Metadata.

Research Data Service staff may review Datasets for alignment with criteria for depositing and/or to extend the Descriptive Metadata as needed to facilitate greater accuracy and discoverability. For more information on the curatorial review process please see the Illinois Data Bank Curation Review Process document.

Discovery and Access

Each Dataset published in the Illinois Data Bank is given a Digital Object Identifier (DOI) that is registered in a global registry of resources with DataCite (https://www.datacite.org/). Likewise, Illinois Data Bank webpages and Descriptive Metadata records are intended to be optimized for search engine visibility. This enables discovery via web searches (e.g., Google) and Descriptive Metadata aggregating services. For more information, see the Illinois Data Bank Access and Use Policy.

Depositors have the option of defining a Publication Delay Period for all or part of a Dataset for a maximum of 12 months, except on rare occasions where the Director of the Research Data Service may consider a longer Publication Delay Period based upon extenuating circumstances, such as for the purpose of seeking patent protection. There are currently two options for delaying publication:

For more information about the data publication delay options, see the Illinois Data Bank Help section: Delaying publication in the Illinois Data Bank .

Copyright, Intellectual Property, and Digital Rights

The Illinois Data Bank relies on the directives regarding copyright found in Article III of the General Rules Concerning University Organization and Procedures (https://www.bot.uillinois.edu/governance/general_rules) and the campus Illinois Copyright Policy (http://copyright.illinois.edu/). The management of digital rights associated with the Illinois Data Bank will be developed in ways that are consistent with University policy and legal requirements.

Illinois Data Bank Commitment to Published Datasets

The Illinois Data Bank commits to preserving published Datasets in accordance with the Illinois Data Bank Preservation Policy at least five years from the date of publication via the Illinois Data Bank. The Illinois Data Bank will endeavor to retain the published Datasets beyond the initial commitment, but reserves the right to assess the long-term viability of Datasets through a review process to determine whether to maintain the Dataset beyond the initial five-year commitment. The potential outcomes of the review process are outlined in the Preservation Review, Revision, Retention, Deaccession, and Withdrawal Procedure.

To learn how to increase the likelihood that published Datasets will be preserved beyond the initial five-year commitment, please see the Illinois Data Bank Preservation Review Guidelines.

Acknowledgements

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Accession Policy

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor changes made: -Minor wording adjustments. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.2	Policy reviewed. Minor change made: -Updated hyperlink.	Heidi Imker, Director, Research Data Service	2017-03-02
1.3	Policy reviewed. Minor change made: -Revised publication language for clarity.	Heidi Imker, Director, Research Data Service	2019-06-20
1.3	Policy reviewed.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Deposit Agreement

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To start depositing your Dataset, please answer the following questions, read the following deposit agreement, and agree to this deposit agreement.

Are you a Creator or have you been granted permission by a Creator to deposit this Dataset?

Have you removed any private, confidential, or other legally protected information from the Dataset?

Do you agree to the Illinois Data Bank Deposit Agreement in its entirety?

ILLINOIS DATA BANK DEPOSIT AGREEMENT

Non-Exclusive Distribution and Preservation License

To properly administer the Illinois Data Bank and preserve the contents for future use, the Board of Trustees of the University of Illinois on behalf of its Urbana-Champaign campus (the "University") requires certain permissions and warrants from you, the Creator(s) and/or copyright owner. If copyright law is applicable to your dataset submission (see Illinois Data Bank Help section: Research Data Copyright and Licensing)

By accepting (clicking through) this License, you grant to the University the non-exclusive right to reproduce, translate (as described below), and distribute the Dataset in any format or medium worldwide and royalty-free, including, but not limited to, publication over the Internet, unless otherwise provided for by an addendum to this Deposit Agreement. You must contact Research Data Service staff at databank@library.illinois.edu if you would like an addendum to this Deposit Agreement to be considered.

You agree that the University may convert the deposited Data Files and/or Metadata Files to any medium or format and make multiple copies of the deposited Dataset for the purposes of security, back-up, and preservation. In addition, you understand and agree that Research Data Service staff may make changes to Descriptive Metadata, including enhancements (such as addition of key words) and/or corrections (such as minor typos). Any Descriptive Metadata changes will be tracked via a public change log. Your Dataset will not otherwise be altered without your permission.

You understand that the name of the Depositor as well as the name and email address of the Long-Term Contact Person may be displayed with the published Dataset, as will the copyright license selected by the Depositor.

You understand that the University commits to preserving your published Dataset in accordance with the Illinois Data Bank Preservation Policy. at least five years from the date of publication via the Illinois Data Bank. The University will endeavor to retain the Dataset beyond the initial five-year commitment, but reserves the right to review the long-term viability of the Dataset beyond the initial five-year commitment and the right to Deaccession the Data Files and/or Metadata Files or otherwise alter the availability of the Data Files, Metadata Files, and/or Descriptive Metadata after the initial five years in the University's sole discretion. Generally, the University will endeavor to retain at least the Descriptive Metadata beyond the initial commitment. To learn how to increase the likelihood that published Data Files and Metadata Files will be preserved beyond the initial five year commitment, please see the Illinois Data Bank Preservation Review Guidelines.

If you cannot make all of the following representations, then you must contact Research Data Service staff at databank@library.illinois.edu before proceeding further.

In order to submit this Dataset, you represent that:

• You have the right to grant the rights contained in this License.

• Nothing in this Dataset, to the best of your knowledge, infringes on anyone's copyright or other intellectual property rights.

• If this Dataset does contain material for which you do not hold copyright and that exceeds fair use, you have obtained the unrestricted permission of the copyright owner to grant the University the rights required by this License and that such third-party owned material is clearly identified and acknowledged within the content of the Dataset.

• Nothing in this Dataset violates any contract terms (e.g., Nondisclosure Agreement, Material Transfer Agreement, Terms of Use, etc.)

• Nothing in this Dataset contains any private information, confidential information, proprietary information of others, export controlled information, or otherwise protected data or information that should not be publicly shared.

• You honor any publication delays required by other parties, such as a journal publisher, by selecting the appropriate release date for public distribution of all content in this Dataset.

• To the best of your knowledge, all content provided within and about this Dataset is accurate.

• Nothing in this Dataset contains any software viruses or computer codes, files, or programs capable of allowing unauthorized access or disrupting, damaging, limiting or interfering with the proper functioning of the Illinois Data Bank or other users' software, hardware, or telecommunications equipment.

• This Dataset is in a final state and is not subject to revisions or updates.

• You understand that if copyright terms for, or ownership of, this Dataset submission change, it is your responsibility to notify the University of these changes.

• If this Dataset is based upon work that has been sponsored or supported by an agency or organization other than the University, you must fulfill any right of review or other obligations required by the contract or agreement with such an agency or organization before depositing into the Illinois Data Bank.

• You agree that this submission of this Dataset and your related actions are subject to all applicable state and federal laws as well as University and campus policies.

By agreeing to this Deposit Agreement, you acknowledge that you have read and accept the terms of this License and all related Illinois Data Bank and University policies.

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Deposit Agreement Policy

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor change made: -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.1	Policy reviewed.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed. Minor change made: -Revised language for clarity.	Heidi Imker, Director, Research Data Service	2019-06-20
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Illinois Data Bank Preservation Policy

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Purpose of this Policy

This document outlines the Illinois Data Bank plan for responsible and sustainable stewardship of published Datasets. The development of a reliable digital archive that adheres to, and remains compliant with, the standards expounded in the Illinois Data Bank Policies remains the best mechanism to support the access of University of Illinois at Urbana-Champaign research data.

Preservation Objectives

The Illinois Data Bank's current objectives are to provide preservation of and access to published research data for a minimum of five years after the date of publication in the Illinois Data Bank.

The Illinois Data Bank reserves the right to review Datasets five years after their initial publication date to determine whether to retain or Deaccession the Data File(s) and/or Metadata File(s). In certain cases of retention, preservation review decisions may also trigger preservation actions to ensure the ongoing usability of Data Files and/or Metadata Files.

The Illinois Data Bank currently plans to retain Descriptive Metadata persistently for all Datasets deposited in the Illinois Data Bank regardless of the Disposition of Data File(s) and/or Metadata File(s), but the Illinois Data Bank reserves the right to a shorter retention period for Descriptive Metadata, but not shorter than the planned retention period, which is currently at five years. Details regarding the process for determining whether to retain Datasets beyond the five-year commitment period can be found in the Illinois Data Bank Preservation Review, Revision, Retention, Deaccession, and Withdrawal Procedure and the Preservation Review Guidelines.

The Illinois Data Bank shall:

• Provide or participate in a reliable preservation environment for published Datasets, where at least one of the Creators is affiliated with the University of Illinois Urbana-Champaign, such as its faculty, academic staff, and graduate students.

• Provide reliable and consistent access to published Datasets available through the service to Depositors, the larger research community, and the public according to the Illinois Data Bank policies.

Operating Principles

The Illinois Data Bank shall adhere to the following operating principles:

• Endeavor to model services after the Open Archival Information System (OAIS) Reference Model (http://public.ccsds.org/publications/archive/650x0m2.pdf) for the long-term preservation and access of digital collections whenever possible.

• Strive for compliance with emerging international standards for managing a reliable digital repository infrastructure.

• Adhere to prevailing community standards for preserving access to Datasets whenever possible.

• Participate in the development and implementation of standards.

• Commit to an interoperable, scalable digital archive with appropriate storage management for Datasets.

• Create policies, procedures, and practices that are clearly documented and consistent.

• Strive to maintain hardware, software, and storage media containing archival content in keeping with prevailing best practices.

• Strive to establish procedures that meet archival requirements, such as clearly documenting and maintaining provenance, chain of custody, authenticity, and integrity of Datasets.

• Comply with intellectual property, copyright, and ownership rights for all content.

Roles and Responsibilities

Development and management of preservation and access for the Illinois Data Bank is accomplished through the collaborative efforts of units at the University Library working in accessioning, curation, information technology, and systems administration capacities. These groups further work with the Office of the Vice Chancellor of Research and Innovation, the National Center for Supercomputing Applications, and other groups as necessary to provide adequate managerial and infrastructure commitments to sustain the Illinois Data Bank. The Illinois Data Bank's preservation infrastructure is managed by the Library and its Medusa digital preservation repository (see below).

Preservation Strategies

Datasets deposited in the Illinois Data Bank utilize the back-end storage and management services within Medusa, the University of Illinois Urbana-Champaign Library's digital preservation repository (https://medusa.library.illinois.edu/). Medusa provides a common storage and management infrastructure for digital collections of enduring value to the University. At present, Medusa's collecting focus is on digitized and "born digital" books, manuscripts, photographs, audiovisual materials, scholarly publications, and research data from the Library's special collections, general collections, and institutional repositories. The University Library manages Medusa storage in partnership with the National Center for Supercomputing Applications. Additional information about Digital Repository Medusa can be found at the Medusa's FAQs page (https://wiki.cites.illinois.edu/wiki/display/LibraryDigitalPreservation/Medusa+FAQ).

As is practical and necessary, preservation procedures may also include transformation of Data Files and/or Metadata Files into more stable formats and/or migration to successive formats. In the event one or more Data Files and/or Metadata Files in a Dataset are made available in a converted format, Research Data Service staff will document the conversion in the Dataset's associated Descriptive Metadata and/or Metadata File(s).

Addressing Challenges

The Illinois Data Bank plans to address the challenges facing digital repositories as follows:

• Technological Change: By developing a sustainable digital preservation model that will respond to technological changes as needed without under- or over-estimating the costs imposed by these changes.

• Sustainability: By developing a sustainable digital preservation model that will deal with the technical and management challenges of preserving digital content within the constraints of available funding.

• Defining Preservation Needs: By providing a thoughtful balance among many factors including access, functionality, and preservation, while being mindful that preservation is critical to enabling long-term access and use.

• Ongoing Monitoring of Submitted Material Types and Formats: By monitoring different needs of the deposited materials (e.g., storage size, file format usability) as different types of materials are deposited and maintaining procedures and guidance based on these needs as necessary.

Financial Sustainability

The University of Illinois Urbana-Champaign makes a financial commitment toward the sustainable preservation of published Datasets through funding of the Research Data Service.

Technological Sustainability, Security, and Disaster Recovery

The University Library is committed to sustaining an effective digital preservation infrastructure for its digital collections, which includes the adequate provisioning of appropriate technologies. Planning for this infrastructure occurs within the Library's Repository group, in conjunction with Research Data Service staff. To minimize service interruption and content loss due to technical failure, the system is designed to eliminate single points of failure by providing redundant server components and replication; however, the Illinois Data Bank service is provided "as is."

• Replication of Repository Content: Datasets deposited into the Illinois Data Bank are stored in highly durable, available and performant object storage, with copies in more than one geographic area.

• Geographical Redundancy: To minimize loss due to catastrophic hardware failure or natural disaster, all repository content is regularly backed up to remote storage to ensure geographic redundancy and disaster recovery.

• High Availability: The Library's repository services are designed to quickly recover from the failure of some of its components and to continue working to a level of satisfaction in the presence of hardware or software failure.

Acknowledgements

• Illinois Digital Environment for Access to Learning and Scholarship (IDEALS). IDEALS Digital Preservation Policy. http://hdl.handle.net/2142/2383

• Data Repository for the U of M (DRUM). DRUM Policies and Terms of Use, Preservation Policy. https://conservancy.umn.edu/pages/drum/policies/

• Roper Center for Public Opinion Research. Roper Center for Public Opinion Research Digital Preservation Policy. http://ropercenter.cornell.edu/digital-preservation-policy/

• Inter-university Consortium for Political and Social Research (ICPSR). ICPSR Digital Preservation Policy Framework. http://www.icpsr.umich.edu/icpsrweb/content/datamanagement/preservation/policies/dpp-framework.html

• Purdue University Research Repository (PURR). PURR Digital Preservation Policy. https://purr.purdue.edu/legal/digitalpreservation

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Preservation Policy

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor changes made: -Minor wording adjustments. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.1	Policy reviewed.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed. Minor change made: -Revised language for clarity.	Heidi Imker, Director, Research Data Service	2019-06-20
1.3	Policy reviewed. Minor change made: -Wording change on the partner's name.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Preservation Review, Retention, Deaccession, Revision, and Withdrawal Procedure

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Purpose of this Procedure

This document outlines the procedures for reviewing, revising, retaining, Deaccessioning, and Withdrawing Data Files, Metadata Files, and Descriptive Metadata published in the Illinois Data Bank.

Preservation Review

The long-term viability of Datasets published in the Illinois Data Bank will be assessed using a robust set of review criteria. The Illinois Data Bank is committed to transparency, accountability, and collaborative decision-making regarding assessments of the long-term preservation status of research data. While a variety of unique factors influence decisions made about the Disposition of Datasets, the criteria outlined in the Preservation Review Guidelines provide a basis for assessing Datasets.

Preservation Review Roles and Responsibilities

Assessment decisions are a shared responsibility and are often influenced by discipline-specific factors. The Research Data Service staff are responsible for developing and leading the assessment process of Datasets and will consult with ad hoc "Assessment Teams" comprising functional and subject specialists as well as domain experts outside of the Library as appropriate. The "Assessment Team" may also incorporate input from other stakeholders as necessary.

Retention

The Illinois Data Bank anticipates that the majority of Preservation Reviews will result in Dataset retention. The decision to retain a Dataset will typically indicate that the preservation viability of the Dataset is acceptable given the determined long-term value of the Dataset, and that Illinois Data Bank resources being deployed to steward the Dataset are at a level that is proportional to its long-term value.

The Illinois Data Bank will commit resources to escalating preservation efforts for Datasets determined to have remarkable value that are suffering preservation risk or are not available in the most usable states. Examples of escalated preservation procedures include file format migration, enhancing Descriptive Metadata/Metadata Files, or improving access and/or use services by developing data-type-specific viewers/emulators.

Deaccession

A decision to Deaccession the Data Files and/or Metadata Files associated with a Dataset will only occur if it is determined that the Dataset is not of long-term value to its research community and/or its inclusion in the Illinois Data Bank detrimentally affects the Illinois Data Bank's ability to steward effectively other resources whose research value and preservation viability are evident.

Upon deciding to Deaccession the Data Files and/or Metadata Files associated with a Dataset, the Illinois Data Bank will consider one of these options:

• Transfer to a repository more appropriately situated to steward the Data Files and/or Metadata Files.

• Transfer Data Files and/or Metadata Files back to the Long-Term Contact Person indicated in the Descriptive Metadata.

For any Data Files and/or Metadata Files that are to be Deaccessioned, a good faith effort to contact the Long-Term Contact Person will be made by notifying them at the email address the Illinois Data Bank has on record. The notification will outline the Illinois Data Bank's Deaccessioning decision.

If the Illinois Data Bank does not receive a response from the Long-Term Contact Person after 90 days, the Illinois Data Bank will transfer or discard the Data Files and/or Metadata Files according to the practices and security standards in place at the time of Deaccessioning.

The Illinois Data Bank will not Deaccession any Data Files and/or Metadata Files before the initial commitment period ends, currently five years.

Descriptive Metadata

The Illinois Data Bank currently plans to retain Descriptive Metadata persistently for all Datasets deposited in the Illinois Data Bank regardless of the Disposition of Data File(s) and/or Metadata File(s) except in rare circumstances as determined by the Director of the Research Data Service.

Revisions

Depositors are expected to confirm the validity of all content prior to publishing a Dataset. However, should an error in the Descriptive Metadata be discovered, the original Depositor or Research Data Service staff may make a revision to the Descriptive Metadata, which is tracked via a public change log.

If a Creator of a Dataset finds that a file in their published Dataset contains an error, they must contact the Research Data Service staff to submit the corrected file. A new version of the entire Dataset will be created and a new DOI will be assigned. Research Data Service staff will see that the Descriptive Metadata associated with the Dataset makes apparent which version is most recent and what changes occurred. Research Data Service staff will refer to the Illinois Data Bank Withdrawal Guidelines when determining whether to remove the erroneous Dataset from public view. Depositors are expected to limit the need for versioning by not publishing erroneous Datasets; as such, Datasets are limited to no more than six versions, except in rare circumstances as determined by the Director of the Research Data Service.

Withdrawal of Deposited Datasets

The Illinois Data Bank may Withdraw a published Dataset from the repository before the current five year commitment period ends for a compelling reason. Compelling reasons include, but are not limited to, failure to meet the Criteria for Depositing outlined in the Illinois Data Bank Accession Policy,

Datasets may not be Withdrawn because the Depositor or Creator is moving to another institution. Creators have the right to provide additional copies to other institutions under the non-exclusive Deposit Agreement.

All Withdrawal requests must be submitted to databank@library.illinois.edu. http://www.legal.uillinois.edu/ as necessary.

At minimum, Data Files and/or Metadata Files associated with a Withdrawn Dataset are removed from the public view and are no longer available for download. Research Data Service staff will add a statement of Withdrawal to the associated Dataset's Descriptive Metadata. In many cases, Withdrawal results in suppression of public access to Data Files and/or Metadata Files, even when the entire Dataset will be retained within our systems for the sake of provenance. In rarer cases, the Research Data Service staff may be compelled to delete all or part of a Dataset altogether. The Research Data Service staff will refer to the Illinois Data Bank Withdrawal Guidelines to respond to the varying circumstances under which Withdrawal may occur.

Withdrawal of Dataset Drafts

In order to ensure sustainability of technological and storage resources, the Research Data Service staff retain the right to delete initiated Datasets that have remained in draft state in the Illinois Data Bank in excess of 12 months. A good faith effort to contact the Depositor via the email address on record in the Illinois Data Bank will be made prior to deletion.

Acknowledgements

• Carnegie Mellon University Research Showcase. Research Showcase @ CMU Policies, Revision and Withdrawal Policy. http://repository.cmu.edu/policies.html

• Illinois Digital Environment for Access to Learning and Scholarship (IDEALS). IDEALS Withdrawal Policy. http://hdl.handle.net/2142/3744

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Preservation Review Policy

Version	Action	Approved By	Action Date
1.0	Policy issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Policy reviewed. Minor changes made: -Minor wording adjustments. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.2	Policy reviewed. Minor changes made: -Minor clarifications.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2019-06-20
1.3	Policy reviewed. Minor change made: -Revised language for clarity on Revisions.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Illinois Data Bank Withdrawal Guidelines

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If a Creator of a Dataset finds that a file in their published Dataset contains an error, they must contact the Research Data Service staff. A new version of the entire Dataset will be created and a new DOI will be assigned. Research Data Service staff will see that the Descriptive Metadata associated with the Dataset makes apparent which version is correct and what changes occurred.

If the above or any other scenario arises where the appropriateness of a Dataset is in question, Research Data Service staff will refer to the following principles when determining whether to remove the erroneous Dataset from public view:

• Persistent access to Datasets is important for completeness and continuity of the scholarly record. Therefore, whenever possible, we prefer to maintain access to published Datasets, which include the Descriptive Metadata and Data Files, and make existence of any new versions prominently displayed on Dataset pages.

• However, in cases where the Descriptive Metadata and/or Data Files in question may pose a risk to the accuracy of future scholarship and/or are candidates for Withdrawal based on the Illinois Data Bank Preservation Review, Retention, Deaccession, Revision, and Withdrawal Procedure, we will consider removing access and/or deleting the Descriptive Metadata and/or Data Files in question from our systems. Deletion of Descriptive Metadata and/or Data Files prior to the end of the Illinois Data Bank’s commitment period, currently five years, will occur only in the most severe of circumstances, such as a situation where any level of retention of the Dataset could be a threat to national security. Such circumstances will likely require the involvement of a variety of administrative authorities at the Library and campus levels.

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Withdrawal Guidelines

Version	Action	Approved By	Action Date
1.0	Guidelines issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Guidelines reviewed. Minor change made: -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.2	Guidelines reviewed. Minor change made: -Fixed Typo. -Minor clarification.	Heidi Imker, Director, Research Data Service	2017-03-02
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2019-06-20
1.2	Policy reviewed.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.

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Illinois Data Bank Preservation Review Guidelines

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The Research Data Service will convene Assessment Teams who will determine the long-term viability of Datasets published in the Illinois Data Bank. Preservation Review of any given Dataset will not be completed prior to the end of the Illinois Data Bank's commitment period, currently five years. The Research Data Service is committed to transparency, accountability, and collaborative decision-making regarding assessments of the long-term preservation status of research data. While a variety of unique factors influence decisions made about the Disposition of Datasets, the criteria outlined in this document provide a basis for assessing Datasets.

Evaluated by Curators/Librarians/Archivists

Criterion	Consideration
Cost to Store	What is the estimated cost of continuing to store the dataset?
Cost to Preserve	What is the estimated cost of continuing or escalating preservation for the dataset? Preservation actions may include file format migration, software emulation, and/or enhancement of preservation metadata.
Access	What do download and page view metrics indicate about interest in the dataset over time?
Citations	Has the dataset been cited in any publications?
Associated Publication Citations	If the dataset supports the conclusions of a publication, has that publication been cited in any other publications?
Restrictions	Does the dataset have any access or reuse restrictions associated with it?

Evaluated by Domain Experts

Criterion	Consideration
Possibility of Re-creation	Is it possible to create the dataset again?
Cost of Re-creation	If it is possible to create the dataset again, what would be the cost of doing so?
Impact of Study	Did the study that generated the dataset significantly impact one or more research disciplines?
Uniqueness of Study	Was the study that generated this dataset novel?
Quality of Study	Is the study that generated this dataset regarded as being of quality by domain experts?
Quality of Data	Is the dataset of quality according to domain experts?
Current Relevance	Is the dataset useful for addressing contemporary research questions according to domain experts?

Evaluated by Curators/Librarians/Archivists and Domain Experts

Criterion	Consideration
Availability of Other Copies	Is the copy of the dataset in the Illinois Data Bank the only one?
Understandability	Has the creator supplied sufficient metadata and documentation related to the dataset’s creation, interpretation, and use in order to facilitate future discovery, access, and reuse?
Dependencies	Are the software, computing environment, or other technical requirements for using the dataset known? If so, are they available?
Appropriateness of Repository	Is there another trusted repository that, based on their collecting scope and user community, would be a better home for the dataset?

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Contact Research Data Service staff with questions or to request an addition or revision to this policy.

Document History and Version Control Table for Preservation Review Guidelines

Version	Action	Approved By	Action Date
1.0	Guidelines issued.	Heidi Imker, Director, Research Data Service	2016-05-03
1.1	Guidelines reviewed. Minor changes made: -Minor wording adjustment. -Versioning table added.	Heidi Imker, Director, Research Data Service	2016-10-05
1.1	Guidelines reviewed.	Heidi Imker, Director, Research Data Service	2017-03-02
1.1	Policy reviewed.	Heidi Imker, Director, Research Data Service	2019-06-20
1.1	Policy reviewed.	Heidi Imker, Director, Research Data Service	2021-09-13

View past and current versions of this document in IDEALS: http://hdl.handle.net/2142/91039.