Report on Institutional Repository Certification in Germany

1
Report on Institutional Repository Certification
in Germany

• Susanne Dobratz
• Humboldt-Universität zu Berlin
• Electronic Publishing Group
• University Library/
• Computer- und Medienservice
• dobratz_at_cms.hu-berlin.de

2
Repository Certification Activities in Germany

• DINI
• Institutional document and publication server
• Quality of Service
• Visibility
• Interoperability
• Usage of Standards

• Nestor
• Digital repositories in libraries, museum,
  archives, data centres
• Long term preservation
• Trustworthyness of digital repositories
• Criteria catalogue

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DINI

• Deutsche Initiative für Netzwerk Information
• (German Initiative for Networked Information)
• Coalition of German Infrastructure- or
  Service-Institutions
• Libraries
• Computing Centres
• Media Centres
• Learned Societies

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DINI primary objectives

• Initiation and intensification of regional,
  nationwide and international collaboration
• Creating recommendations for efficient
  information services and communication networks
  in and betweenuniversities
• Structuring and construction of networked
  digitalpublication possibilities
• Development of archiving services
• Dissemination of good experiences (best practices)

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DINI WG Electronic Publishing

• Active since start of DINI
• Moderators
• Susanne Dobratz (Humboldt-University)
• Frank Scholze (Univ. Library Stuttgart)
• 14 Participants from German Universities /
  Institutions
• Workshops
• 2003 OAI Tutorials in Germany
• Implementation of digital repositories

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Motivation for a Certificate

• Since 1997 development of digital repositories in
  Germany
• Funded by German Research Foundation
• German Ministry for Education and Research
• others
• 2003 Survey of German University Repositories
• Answers from 47 universities inside Germany
• Kinds of documents(theses and dissertations,
  monographs, journals, preprints, papers, teaching
  materials, historical digitalized materials, )
• Only 40 are working based on a policy
• Very dissapointing use of standards for metadata,
  interfaces, cataloguing, subject cataloguing

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DINI Certificate for Document- and Publication
Repositories

• Certificate launched in 2003 by Electronic
  Publishing working group
• introduced quality control for servers the first
  time.
• A set of minimum requirements of a repository and
  its operator mandatory for modern scholarly
  communication
• recommendations highlighting foreseeable
  developments that might turn into future
  requirements.

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DINI Certificate

• Requirements and Recommendations cover
• Server Policy / Guidelines
• Authors support
• Legal issues
• Authenticity and integrity
• Catalogueing
• Access statistics
• Long term availability

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DINI-Certificate

• Policy
• statements to content and functional and
  technical quality
• A guarantee to archive for defined time
• definition of services that the operator of the
  document repository offers to authors and editors

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DINI-Certificate

• Policy
• Author support
• Minimum standard
• Offer consultancy services and support via web
  pages e-mail, telephone
• Support of the entire publication process
• DINI-recommendations
• Curriculum of courses
• Specialized courses on structured writing for
  authors

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• The operator of the repository must be permitted
• to publish the uploaded document onto the
  repository
• to forward the document to an archiving
  institution
• to alter the documents technically to secure
  long-term availability

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Minimum technical standards for servers
• Documentation of the technical system
• Back-up system to secure repository
• Technically controlled and verifiable acceptance
  of documents
• DINI-recommendations
• SSL certification

13
DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Minimum standards for documents
• Persistent Identifier
• A document with altered content must be treated
  as a new document
• Archiving of authors uploaded file in their
  original format
• DINI-recommendations
• Advanced digital signature

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Indexing / Subject indexing
• Minimum standards
• Availability of a defined policy for indexing
• Verbal indexing with keywords or classificatory
  indexing
• DINI-OAI-recommendations
• At least one additional standardized system
• Keywords in English
• Abstracts in German and English

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Indexing / Export of Metadata
• Minimum standards
• Metadata are available for free
• Unqualified Dublin Core
• DINI-recommendations
• Qualified Dublin Core
• Technical and/or archival metadata

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Indexing / Interfaces
• Minimum standards
• User interface to the web repository
• OAI PMH 2.0
• DINI-recommendations
• Expansion to allow for exchange of complex
  metadata schemata
• Web-service interface (e.g. SOAP)
• Z 39.50

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Indexing
• Subject indexing
• Export of Metadata
• Interfaces
• Logs and Statistics

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DINI-Certificate

• Policy
• Author Support
• Legal Aspects
• Authenticity and Integrity
• Indexing
• Subject indexing
• Export of Metadata
• Interfaces
• Logs and Statistics
• Long-term Availability

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DINI-Certificate / Evaluation

• Proposal by Web-questionnaire
• Evaluation of minimum standards by two experts
• Legitimacy to use the DINI-certificate-logo
• A fee is charged

Nonprofit Profit Organisation DINI-Memb
er 50,00 150,00
Non-Member 100,00 250,00

• http//www.dini.de/zertifikat/dini_certificate.pdf

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Repository Certification Summary

• DINI
• Soft certification
• Aim coaching,
• Marketing idea
• Support open access

• Nestor
• Strong certification
• Hard criteria
• Establish trust
• Guidelines for product specification software
  development

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Nestor Network of Expertise in Long-term STOrage
of Digital Resources - A Digital Preservation
Initiative for Germany

• Objectives
• Raise awaireness for digital preservation issues
• Prepare and promote Information, Material, Best
  Practises, Standard about long term preservation
• Expert Reports
• Study Material for Beginners
• Initiate a network of Expertise
• Web-Portal
• Who Where What Database
• Information Database (like PADI)
• Communication Structures
• Workshops, etc.
• International Coopertaion (PADI, RLG, DPC)
• www.longtermpreservation.de

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nestor

• Project Partner
• German National Library (Die Deutsche Bibliothek)
  
• State and University Library of Lower Saxony
  Göttingen
• Computer and Media Service/ University Library of
  Humboldt-University Berlin
• Bavarian State Library in Munich The Institute
  for Museum Information in Berlin
• General Directorate of the Bavarian State
  Archives
• Funded by the German Federal Ministry of
  Education and Research (BMBF)
• With 800.000 EUR
• June 2003 June 2006 (probably cont.)

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Nestor working group on digital repository
certification

• Bring together experts from libraries, museums,
  archives, data centres, producsers,
  certification, industry
• Develop a criteria catalogue for trustworthy
  digital archives based on the inquiry of the
  current state of long term preservation in
  Germany
• Develop a certification procedure
• See Web page
• Contact
• Dr. Astrid Schoger, Bavarian State Library
• Susanne Dobratz, Humboldt-University

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Nestor working group on digital repository
certification

• Preconditions
• RLG Report 2002
• OAIS
• Trust as key issue
• Schedule
• December 2004 initial meeting
• Criteria catalogue discussed more broadly 21 June
  2004 Munich
• Spring 2005 certificaton process nestor expert
  workshop in Berlin

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Trusted Digital Repository

• In comparison to Document and Publication
  Repository in DINI
• Not only technical issues
• Bigger complexity of requirements, incl.
• Organisation
• Personell
• Finances
• Higher Heterogeneity (libraries, archives,
  museums, data centres, producers, ..)
• Nearly no experiences we are at the very
  beginning!

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Certification

• What shall a certificate achieve?
• Recommendations
• Give orientation, on what is neccesary, not
  determent
• Make a certain quality visible to producers and
  users
• Applicability of a certificate
• For existing and new digital archives and
  initiatives
• in different areas libraries, archives, museums,
  media archives, data centres, etc.
• For software development
• dont give a declaration of guarantee for fife
  or fifty years, but to enable institutions to
  develop strategies in order to cope with the
  continuous change of information technology in a
  responsible way (Liegmann, Schwens)

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Nestor Certificate

• Possible Levels which are in discussion
• Orientation to requirements recommendations
• Qualifying by self presentation, simple check,
  eg.g this archives fulfills the requirements
• Certification in a formal, stringent way

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Nestor criteria catalogue

• 4 questionnaires
• Internal Organisation of the long term
  preservation
• Organisation of the cooperation with producers
  and end users
• Technical System Management
• Technical Object Management
• Survey conducted with selected instutitions in
  order to test criterias

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Internal Organisation

• Integration of long term preservation in the
  overall mission f the institution
• Methods to ensure continuity of the digital
  archive
• Documentation of process and Organisation
  structures
• Quality management
• Qualified Personnell
• Costs of archiving
• Financial planning

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Organisation of the cooperation with producers
and end users

• Policy
• Target group
• Selection criteria/ Archiving agreements
• Arrangements with producers
• Interaction with producers
• electronic protection measures
• Services offered

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Technical system management

• Security concept
• Documentation of Processed and Systems
• Commitment to modernise hard- software
• Long term useability of the objects
• Feasibility to migrate the contents (data,
  metadata)
• Flexibility of the system
• Backup

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Technical Object Management

• Quality control of the objects
• Metadaten (technical, structure, administrativ,
  judical,Standards)
• Persistent Identifier
• Authenticity and Integrity of th eobjects and the
  metadata
• Archival formats
• Long term availability of the objects

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Nestor valuation schema for the criterias

• For all questions
• Are there typical values, best practise examples,
  standards? (which can be used here)
• Are there a constistent set of minimum
  requirements, or continuative recommendations for
  this questions?
• How can the degree of performance be measured? Is
  it a yes / no Questions or does it need a
  differentiated rating scale?
• Which weight gets this requirement within the
  overall assessment?

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What I would like to discuss

• Pros and Cons
• Industry involvement?
• Costs of certification (process)?

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Pros and Cons for
Coaching
Soft certification
Hard certification
Trust
36
Thank You!

• Any Questions??
• Susanne Dobratz
• dobratz_at_cms.hu-berlin.de