DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Certification and Beyond – DINI Open Access Activities in Germany Susanne Dobratz DINI Electronic Publishing Working Group & Humboldt-University Berlin, Library Bielefeld Conference 2006

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)2 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 Additional DINI infrastructural activities to promote Open Access

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)3 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)4 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)5 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)

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)6 Certification in DINI context DINI Institutional document and publication repositories Quality of Service Visibility Interoperability Usage of Standards Nestor Trusted 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)7 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)8 Certification Activities - the complementary perspective Soft certification Hard certification Trust Coaching Number of services

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)9 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)10 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)11 DINI Certificate 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)12 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)13 DINI Certificate: Visibility & Server Policy Recommendations: –The Institutional repository has to be registered by a aggregating service, such as the Institutional Archives Registry ( or OpenDOAR (

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)14 DINI Certificate Authors support Requirements: –Offer consultancy services and support via web pages and/or 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)15 DINI Certificate Authors 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)16 DINI Certificate Legal 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)17 DINI Certificate Legal issues Recommendations: –List rights and privileges in metadata, e.g. –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.

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)18 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)19 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)20 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)21 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.

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)22 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)23 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)24 DINI Certificate Visibility / Impact /Access statistics Recommendations: –Not human access should be filtered, see (z.B. –Webserver logs should be standardised according to the Counter model (

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)25 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)

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)26 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)27 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)28 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 visibility and first step to alternative metrics of impact

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)29 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)30 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

DEUTSCHE INITIATIVE FÜR NETZWERKINFORMATION E.V. Bielefeld Conference 9. February 2006Susanne Dobratz (DINI)31 Thank You! Susanne Dobratz: