DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Certification and Beyond – DINI Open Access...

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Certification and Beyond –DINI Open Access Activities in Germany

Susanne Dobratz

DINI Electronic Publishing Working Group

&

Humboldt-University Berlin, Library

[email protected]

Bielefeld Conference 2006

Bielefeld Conference 9. February 2006 Susanne Dobratz (DINI) 2

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Contents

1. Introduction: About DINI

2. Certification in DINI context

3. DINI certificate for document and publication repositories

4. Practical Experiences

5. Supporting Open Access through the DINI Certificate 2006

6. Additional DINI infrastructural activities to promote Open Access


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About DINI

Deutsche Initiative für Netzwerk Information

(German Initiative for Networked Information))

• Coalition of German Higher Education Infrastructure- or Service-Institutions:– Libraries– Computing Centres– Media Centres– Scientists


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DINI primary objectives

• What?– Creating recommendations for standardized and

interoperable information services and communication networks in and between universities

– Structuring and construction of networked digital publication possibilities

• How?– Transfer ideas, technologies and implement recent

developments in Germany, e.g. OAI-PMH – Initiation and intensification of regional, nationwide

and international collaboration– Advice and recommendations for funding bodies, e.g.

DFG

• ! Develop and support infrastructure


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DINI Electronic Publishing WG

• Active since start of DINI (2000)

• Members from German Universities and Higher Education Institutions– Speakers: – Susanne Dobratz (Humboldt-University)– Frank Scholze (Univ. Library Stuttgart)

• Workshops– 2003: OAI Tutorials in Germany– 2004: Implementation of digital repositories

(Frankfurt)– 2005: Open Access Symposium (Göttingen)


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Certification in DINI context

DINIInstitutional document

and publication repositories

• Quality of Service• Visibility• Interoperability• Usage of Standards

NestorTrusted digital

repositories in libraries, museums, archives, …

• Long term preservation

• Trustworthiness of digital repositories

• Criteria catalogue

DINI: German Initiative for Networked Information

Nestor: Network of Expertise in Long-Term Storage of Digital Resources


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Certification Activities in Germany

DINI

• Soft certification• Aim: coaching• Marketing idea• Support open access

Nestor

• Hard certification• Establish trust• Guidelines for

product specification & software development

http://www.longtermpreservation.de http://www.dini.de


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Certification Activities - the complementary perspective

Soft certification

Hard certification

Trust

CoachingNumber of services


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Motivation for a Certificate

• Since 1997 development of digital repositories in Germany

• 2003: Survey of German University Repositories– Very dissapointing use of standards

• Key Issues:– Document formats– Metadata: DC, ETD-MS, qualified DC (DL Meta)– Interfaces: promote OAI PMH, web services– Cataloguing, subject cataloguing: MAB2, DDC– Visibility of repositories within universities


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DINI Certificate for Document- and Publication Repositories

• Certificate launched in 2003 by Electronic Publishing working group

• Introduced quality control for Document- and Publication Repositories for the first time

• Defines a set of minimum requirements for a repository and its operator(s) mandatory for modern scholarly communication

• Recommends foreseeable developments that might turn into future requirements

• DINI Certificate under final revision! – Following details still draft status


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DINI Certificate 2006

1. Visibility & Server Policy

2. Authors Support

3. Legal Issues

4. Authenticity and Data Integrity

5. Indexing (Subject Indexing, Metadata, Interfaces)

6. Visibility / Impact /Access Statistics

7. Longterm Availability


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DINI Certificate: Visibility & Server Policy

• Requirements:– The range of services offered must be reachable via a

single WWW-based entry point– There has to be a reference from the institution’s

home page to the repositorie’s main entry point.– Provision of standards for the publications in the

repository with regard to content and functional and technical quality

– A guarantee to archive for defined time spans depending on content and functional and technical quality of the publication

– Procedures for the operation of the repository; definition of services that the operator of the document repository offers to authors and editors

– Open Access Policy that defines a clear offer to support the open access


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DINI Certificate: Visibility & Server Policy

• Recommendations:– The Institutional repository has to be registered by

a aggregating service, such as the Institutional Archives Registry (http://archives.eprints.org/) or OpenDOAR (www.opendoar.org).


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DINI CertificateAuthors support

• Requirements:– Offer consultancy services and support via web pages

and/or e-mail and/or telephone as well as person-to-person support

– Support of the entire publication process (including technical and legal areas)

– Action guidelines for authors regarding secondary publications

– Self-Upload for pre- and postprints– Link to SHERPA/ROMEAI list on publisher’s policies


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DINI CertificateAuthors support

• Recommendations:– Curriculum of courses on electronic publishing offered

at least once per semester– Specialized courses on “structured writing” for authors– Utilization of (electronic) help-desk systems– Supply of Style Sheets or example templates– Supply of help texts that can be downloaded by

authors (e.g. to produce PDF files)– Supply of references on how to use and cite

documents– Provision of references to intellectual property rights

and copyrights– Provision of english language interfaces and

descriptions


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DINI CertificateLegal issues

• Requirements: 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– Exemption from liability must be formulated in a

disclaimer– The operator has to manifest openly, that the

documents are protected by intellectual property right, copyright or licenses


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DINI CertificateLegal issues

• Recommendations:– List rights and privileges in metadata, e.g.

http://w210.ub.uni-tuebingen.de/dbt/uni/licenses.php – Offer authors a licensing tool during upload process

e.g. as it is done with Creative Commons and additional licenses at the University of Tübingen with TOBIAS-lib.


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DINI Certificate Authenticity and integrity

• Repository Requirements:– Documentation of the technical system (It is expected

of the repository to be available on a 24/7 basis)– Back-up system to secure repository, metadata and

documents– Technically controlled and verifiable acceptance of

documents

• Repository Recommendations:– SSL certification


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DINI Certificate Authenticity and integrity (2)

• Documents Requirements:– Persistent identifier must be assigned (URN, DOI, …)– A document with altered content must be treated as a

new document (new persistent identifier)– Archiving of authors’ uploaded files in their original

format

• Documents Recommendations:– Application or procedure to account for the integrity of

documents (e. g. a hash number)– Advanced digital signature – Rendering of archiving file formats with reference to

the export of documents into long-term archiving facilities or institutions


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DINI Certificate Cataloguing / Subject Indexing

• Requirements:– Availability of a defined policy for indexing, that should

be made known to authors– Verbal indexing with keywords or classificatory indexing– Dewey Decimal Classification (DDC) according to usage

in the German National Bibliography as the general classificatory indexing system for documents (v. DINI-OAI recommendations)

• Recommendations:– At least one additional standardized system of verbal or

classificatory indexing (general or subject specific, e. g. Schlagwortnormdatei, LoC, CCS, MSC, PACS etc.)

– Keywords in English & Abstracts in German and English


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DINI Certificate Cataloguing / Export of Metadata

• Requirements:– Metadata are available for free– Unqualified Dublin Core (ANSI/NISO Z39.85–20012)

according to OAI-PMH

• Recommendations:– Qualified Dublin Core – ONIX– Technical and/or archival metadata; print-on-demand

data (e. g. METS)– Export to long-term archiving institutions or repositories– Export into bibliographical databases (e. g.

bibliographical management system, networks, OPACs)– Link lists for indexing by robots and commercial search

engines.


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DINI Certificate Cataloguing / Interfaces

• Requirements:– User interface to the web repository– OAI PMH 2.0 with DINI Recommendations on OAI-PMH

Usage in Germany

• Recommendations:– Use of extended Metadata Schemas with OAI 2.0 to

allow for exchange of complex metadata schemata– Web-service interface (e. g. SOAP)– Z 39.507


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DINI Certificate Visibility / Impact /Access statistics

• Requirements:– Every individual repository must (within legal

boundaries) log statistical data on– access to the repository and to individual publications– Webserver logs have to be made anonymous before

storing them over longer periods– The log containing data on access to a publication

should be added to the publication as dynamic metadata – The statistic has to be extended by a documentation,

that explains which criteria were used to build the statistic It has to be indicated at the web pages, that access figures can’t be used to compare different repositories, but only to compare the access figures for documents on the same repository


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DINI Certificate Visibility / Impact /Access statistics

• Recommendations:– Not human access should be filtered, see (z.B.

http://www.robotstxt.org/wc/active/all.txt).– Webserver logs should be standardised according to the

Counter model (http://www.projectcounter.org/cop_books_ref.html)


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DINI Certificate Long term availability

• Requirements:– Persistent linking of metadata and documents – storage of metadata and document in one single

container)– Definition within the policy of a minimum time span of

availability of a document of no less than five years)– Archive copies have to be free of digital rights

measures, that prevent a use of long term preservation strategies (migration, emulation)


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DINI Certificate Long term availability

• Recommendations:– Securing long-term availability where necessary

through cooperation with an archiving institution– Usage of open file formats for long term preservation

(e.g. PDF/a instead of PDF)– Production of technical metadata for long term

preservation (e.g. using tools like JHOVE) – Unique identification of the used file format inthe

metadata with reference to public file format registries


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Certification in practice

• 15 Services certified / 4 in progress

• Of 104 repositories in Germany

• Common issues– policy– persistent identifiers– documentation

• Certification as development of the service– common experience

• Certification as marketing action– experiences range from

very good results (e.g. Chemnitz) to no effect at all


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Certification and Open Access

• Universities need guidance for installing Institutional Repositories

• Enhance visibility of the service „Institutional repository“

• Promote the quality and add-on functionalities that can be reached by using an Institutional Repository instead of a personal home page

• Defining an Open Access Policy

• Information space / support for post- and preprint issues (mainly copyright)

• Self-Upload / Self-Cataloguing by authors

• Access statistics as key issue for visibilityand first step to alternative metrics of impact


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Further DINI Open Access Activities

1. Form a core group to develop an open access advocacy package

2. Technically: interoperate Open Access repositories

3. Steps to support green way

4. Develop infrastructure to measure impact factors for repository content equally to Journal content with internationally agreed technology

5. Counselling on authors, librarians

6. Special focus on counselling universitie‘s management and funding bodies


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Conclusion

• Certification enhances the quality of service of IRs

• Is thus an important step to increase the visibility of standardisation and interoperability

• Standardisation and interoperability are still badly needed to built service layers on top of IRs

• Certification can promote the acceptance of Institutional repositories

• Can thus be a vital part of OA advocacy


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Thank You!

http://www.dini.de

Susanne Dobratz: [email protected]

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Certification and Beyond – DINI Open Access...

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Transcript of DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Certification and Beyond – DINI Open Access...