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Chinese Digital Archive Network of Foreign STM Literature

Xiaolin ZhangNational Science Library, Chinese Academy of Sciences

iPress 2007Oct.11-12, 2007, Beijing, China

iPRES 2007, Beiijng, 2007 2

Digital Archive Network of Foreign STM Literature

1. The Initiative2. The Framework3. The Implementation and Challenges


1. The Initiative 1.1 Background (1)

Digital information becomes the mainstream for major research and educational institutions

CALIS (Chinese Academic Info and Lib System, MoE)300 major academic librariesDatabases 300, e-journals 24000e-books 200,000, ETD 150,000Download 68m articles by CALIS 2005

CSDL (Chinese Science Digital Library, CAS)Databases 53, e-journals 8000e-books 20,000, ETD 150,000Download 17 m articles by CSDL 2006

Digital Archival Network of Foreign STM Literature


1. The Initiative 1.1 Background (2)

Migration from print to e-only begins in big steps For example, Tsinghua U. Lib foreign print journals from over 3000 to 700 in 2007CAS Lib cancels more than 700 of its duplicate foreign journals in multiple locations and beginning cancellation of Chinese print journals



1. The Initiative 1.2 Objectives (1)

To preserve digital STM publications for long-term availability

Targeted resourcesForeign scientific scholarly R&D publications

E-journals, e-proceedings, ETDsChinese scientific scholarly R&D publications

E-journals, e-proceedings, ETDsTargeted user groups

Chinese scientific research and educational communities




To build a network of digital archivesWith multiple distributed partnersEach serving at a national archive statusEach entrusted as a trusted public archiveWith divided responsibilities to preserve different foreign STM digital resourcesWith public responsibilities to serve the research and educational communitiesWith built-in redundancy and succession chain




Organized as a closely coupled virtual organizationWith coordinated planning for the networkWith government investment as the main fundingWith collective preservation rights negotiationWith standard requirements for public service agreementsWith standard guidelines for archive administrationWith standard guidelines for archive interoperabilityWith centralized certification and evaluation



1. The Initiative 1.3 Structure (1)

Supported by MoSTAs part of National Scientific Infrastructure PlatformWith collaboration from MoF, MoE, MoC, MoA, MoH, CAS, NSFC

Managed by NSTL Status: as a standing program for funding and managementAdministration:

A steering group for planning and overseeingA administration Center within NSTL for administration

Participation:A group of institutions designated as trusted operators of archives within the networkCompetitively selected by open bidding and certification



1. The Initiative 1.3 Structure (2) - NSTL


Chinese Scientific Infrastructure PlatformMinistry of Science and Technology

MoF

STMDataGrid

Platform

NSTL

STMNatural

ResourceSharingPlatform

STMFacilitySharingPlatform

STMComputingNetworking

Grid

STMLiteratureSharingPlatform

MoST MoA MoH CAS

Member libraries

Coordinating

NLS - LCAS

NLEng - ISTIC

NLM - LCAMS

NLA - LCAAS

Special STM Libs

Academic Libraries


2. The Framework 2.1 General framework


Preserving what?

Who preserves the resources?

How to preserve the resources?

How to manage the processes?

Prioritize the resources

Design the responsibility network

Develop the requirements (IPR,technical, workflow, service, …)

Implement administrative means(funding, certification, fail-safe…)

How to sustain the processes? Institutionalize long-term policy &Planning mechanism


2. The Framework 2.2 Selection of the targeted resources (1)

Value and Crisis analysisKey R&D resourcesResources in nationally strategic fieldsMost used or subscribed resourcesE-only resourcesImportant resources subscribed by fewResources with easier preservation arrangements……



2. The Framework 2.2 Selection of the targeted resources (2)

Targeted resourcesMajor STM publishers’ e-journalsMajor STM societies’ e-journalsImportant university presses’ e-journalsMajor STM publishers’ e-books/proceedingsMajor STM ETD databasesMajor patents/standards/reports databasesMajor STM abstract/index databasesMajor reference works……



2. The Framework 2.3 Securing the preservation rights (1)

Preservation rights as a national and public rightsNegotiated as national archive rightsNegotiated as part of public investment requirements for subscription

Multi-facets of preservation rights Rights to ingest and preserveRights to modify and processing for preservationRights to serve designated populations or the public



2. The Framework 2.3 Securing the preservation rights (2)

Further analysis of preservation rights Rights to ingest and preserve

Rights on behalf of the public and other partnersRights for redundancy back-up and successionRights for full metadata and full support in ingesting and preserving the data

Rights to serveRights to serve when service is unavailable to the subscribing bodyRights to serve the collaborating partners when regular service is unavailable to themRights to serve the public when the market fails

Guidelines and approvals for rights negotiation



2. The Framework 2.4 Implementing the tech infrastructure

Basic tech requirementsFollowing the OAIS modelUsing multiple OSS-based and well populated systemsAdopting standard SIP/AIP/DIP formats and metadataSupporting well-formed workflowsUtilizing standard S&R interfacesImplementing standard modules for monitoring and auditing

Special tech requirementsRedundancy back-up capabilitySuccession workflow capabilityOpen access control managementFast serviceability within limited time periods



2. The Framework 2.5 Planning the preservation workflow management

WorkflowClearly defined with desired details Well documentedVerifiableCoupled with responsibility systemsSupported by necessary resourcesWith corrective measures

Trusted workflow managementBuilt-in workflow planning, designing, control, evaluation, and modification in preservation administrationFollowing common standards and guidelinesExposed to outside evaluation and certificationSupported with automatic workflow analysis and management



2. The Framework 2.6 Planning trusted service management

ServiceSustainability of the shared responsibility relies on well-performed services to each other and to the publicContract with NSTL as service level agreement

Specified acceptable service levelsPerformance standards for archivingPerformance standards for services

Response time for service when neededService functionalityService reliabilityService without undue access control limitations Service without undue financial charges

Trusted lawful legal practicesSubject to Open evaluation



2. The Framework 2.7 Selection of the preservation partners (1)

General framework for the trusted partnersEntry criteria for the partners

Responsibilities, obligations, competencies, resources, ..Competitive selection process

Open biddingCertification standards in initial evaluationShared investment Built-in fail-safe redundancy in responsibility

Rigorous management of the partnersContractual management Periodic evaluative re-certificationPerformance binding with public investmentCompulsory succession mechanism




General criteria for the trusted partnersLegally independent organizationsPublic research and education institutionsWith sufficient formal organizational commitmentWith sufficient organizational and financial sustainabilitySubscriber to the targeted resourcesSubscriber with service responsibility to the primary usersWith statutory and historical responsibilitiesWith proved public and collaborative service competenciesWith tested technological and administrative competenciesEnabling distributed responsibilities, especially among major library systems……




Possible partnersNational Libraries (especially national STM libraries)Major research universitiesMajor national research organizationsMajor public libraries(with support from data centers in universities and research organizations)

Possible division of laborAccording to the subject emphasesNecessary concentration of resources for economy of scalesNecessary distribution of resources for reliability……



2. The Framework 2.8 Funding structure for the network

Public funding as the basis and the enablerPublic responsibility of the government to preserve MoST funding as part of the National Scientific Info Platform

Shared fundingMoST funding for initial development, continuing extension, and part of continuing operationInstitutional funding for part of the initial development of theassigned archives and for continuing maintenance (staff, facilities, administration, …)Maybe combined with NSTL support of resource acquisition

Performance binding fundingSpecific funding management at NSTL and insitutions



2. The Framework 2.9 Certification and evaluation mechanisms

Certification processesas a prerequisite for selection of partnersas a periodic evaluation and management tool

Certificationby outside bodies authorized by MoST for official evaluationby expert groups organized by NSTL for management

Certification managementStandards utilizing global experiencesStanding procedure and budget for certificationOpen certification and evaluation standardsEnforcement mechanisms for evaluation results




3. The Implementation and Challenges3.1 Phased implementation (1)

Secure approval for the initiative as official endeavor and initial funding from MoST for the experiment phaseSecure commitment from Most for future full-scale developmentSecure commitment of collaboration from other go ministries and major partners




Explorative and Experimental PhaseLimited scale experimental archive development with

1 general foreign full-text database2-3 subject-based or special type foreign databases1 Chinese full text database

In-context explorative administrative development withResource selection planningPreservation rights managementService level agreement guidelinesWorkflow management guidelinesCertification standards and processesFunding estimates and management

Building up the collaborative culture and channels




Production implementation phaseResource selection planRights management planFunding planning Selection by Certification Full scale preservation efforts for major resourcesFull life-cycle operations for early experimental resourcesFull scale development of the network management……



3. The Implementation and Challenges3.2 Challenges (1)

To mobilizing STM communities and relevant gov agencies To advocate shared responsibility in a distributed networkTo educate about trusted preservation servicesTo develop convincing funding structures and formulas To devise shared service structures and managementTo train capable technical and managerial personnelTo showcase successful trusted archiving systems……




Working with multiple lines of administration and interestsUniversities by MoEResearch organizations by CAS or other ministriesPublic libraries by MoC and local governmentsNSTL by MoST……

Need to involve all (would-be preservers and beneficiaries) from planning to evaluation




Policies Adjustment of policies of MoST and NSTL for supporting a digital archival network of STM literatureAdjustment of policies of participating institutions to align with the MoST/NSTL policies

CollaborationsWith scientific data preservationWith H&SS resources and cultural heritage preservationWith institutional knowledge assets managementWith international partners in scientific communities

ServicesIntegration with current STM information servicesExperimenting with enriched content and service context……



3. The Implementation and ChallengesLearning from our colleagues from the world is one of our important answers to the challengesWe are indebted to those participated iPRES2004/2005/2006We hope we will be able to collaborate with colleagues abroad and within in China



Thanks toNSTL for its support of the planningNSL group of Zhixiong Zhang, Zhenxin Wu, Chunwang Li, Xiwen Liu, Jiancheng Zheng, and others for collaboration on the planning

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