criteria for a trusted institutional repository
TRANSCRIPT
1
Criteria for a trusted
institutional repositoryIna Smith
30 March 2016
Presented during the IR Workshop
University of Pretoria
Agenda
• Definition
• Tools
• Criteria
DSpace is OAI-PMH Compliant
Articles, theses,
dissertations
Data & data sets
Re
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Lifec
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What is a trusted institutional repository? (1)
“A trusted digital repository is one whose mission is to provide reliable, long‐term
access to managed digital resources to its designated community, now and in the
future.”
(RLG‐OCLC Report 2002)
What is a trusted institutional repository? (2)
• Accepts responsibility for long‐term maintenance of digital resources
• Organizational system that supports long term viability of repository & digital material
• Demonstrates fiscal responsibility & sustainability
• Applies commonly accepted conventions & standards to ensure ongoing management, access, security
What is a trusted institutional repository? (3)
• Regularly evaluates/audits the system (internal)
• Implement policies, practices, performances that can be audited and measured
• Well managed
Methodologies (1)
• OAIS Reference Model (ISO)
• Trusted digital repositories: attributes and responsibilities (RLG/OCLC) (2002)
• An audit checklist for the certification of trusted digital repositories (RLG-NARA) (2005)
• Trustworthy Repositories Audit and Certification: Criteria & Checklist (TRAC) (CRL) (2007)
Methodologies (2)
• Data Seal of Approval (DANS) (2008)
• DIN 31644 Information and documentation –Criteria for trustworthy digital archives (German Standards Committee) (2008)
• Audit and certification of trustworthy digital repositories (Consultative Committee for Space Data Systems) (2011)
• ISO 16363 Audit and Certification of Trustworthy Digital Repositories (2012)
Methodologies (3)
• ISO 16919 Requirements for Bodies Providing Audit and Certification of Candidate Trustworthy Digital Repositories
• Expected outcome: development of approved audit & certification bodies in countries
European Framework for Audit & Certification
• Tiered approach to certification• Data Seal of Approval: entry-level self-assessment
and peer review
• DIN 31644 or ISO 16363: extensive self-assessment (internal audit)
• ISO 16363: full scale external audit
Data Seal of Approvalhttp://www.datasealofapproval.org/en/assessment/
• 16 guidelines based on criteria:
• Data can be found on Internet
• Data accessible
• Data in usable format
• Data reliable
• Data identified in a unique & persistent way so that it can be referred to
What is the ISO 16363 Standard?
• Suite of standards, national & international level
• Demonstrate trustworthy & responsible data management, stewardship
• Provide direction to repositories
• Demonstrates • Adherence to quality & consistency
• Respect for data integrity
• Commitment to long-term preservation & access
What is an ISO 16363 Audit?
• Internal audit (self-assessment): Preparation by repository – ISO 16363 metrics
• External audit: Site visit by audit team
• Formal report to repository
• Certification of repository as OAIS Compliant
• Maintain certification over time
Preparing for an ISO 16363 self-assessment
• Excel spread sheet:http://wiki.lib.sun.ac.za/index.php/SUNScholar/Audit
• Assess repository in terms of:• Organisational infrastructure
• Digital object management
• Infrastructure and security risk management
Organisational Infrastructure (1)
• IR has defined goals for selection of digital material
• Accepts responsibility to preserve digital material over long-term
• Known defined community for whom access & ability to interpret digital materials will be provided
• Legal & contractual rules between data creators & IR
Organisational Infrastructure (2)
• Sufficient organizational structures: personnel, finance, long-term planning, continuity of service
• Processes & responsibilities are defined & documented
Object management (1)
• Integrity & authenticity of digital material are maintained
• Strategic plan for digital preservation activities in place
• Information packages for ingest, storage, dissemination are defined
• Adequate documentation incl. permanent identifiers, structural, technical, rights, change metadata
Object management (2)
• Digital material & related metadata packaged together for permanent preservation
Infrastructure & security
• IT infrastructure secure
ISO 16919 – Auditing Body
Other auditing & certification systems
Center for Research LibrariesTRAC/ISO 16363 https://www.crl.edu/archiving-preservation/digital-archives/metrics
International Council for Science World Data System https://www.icsu-
wds.org/services/certification
Nestor Catalogue of Criteria for Trusted Digital Repositories
Based on ISO 16363
Germany
http://files.d-nb.de/nestor/materialien/nestor_mat_08-eng.pdf
Other
• Digital Asset Assessment Tool (DAAT) Project ‐ file format testing (UK)
• DINI certification criteria ‐ Deutsche Initiative für Netzwerkinformation (German Initiative for Networked Information)
• Long Term Digital Preservation (LTDP) Automated Assessment – maturity level (IBM)
• Moims‐rac (MOIMS‐Repository Audit and Certification)
Principles - Trusted IR (1)
• Commitment to continuous maintenance of digital objects
• Demonstrates organisation fitness to fulfil commitment (financial, staffing, processes)
• Acquires and maintains requisite contractual and legal rights and fulfills responsibilities
• Has an effective and efficient policy framework
Source: https://www.crl.edu/archiving-preservation/digital-archives/metrics-assessing-and-certifying/core-re
Principles – Trusted IR (2)
• Acquires and ingests digital objects based upon stated criteria that correspond to its commitments and capabilities
• Maintains/ensures the integrity, authenticity and usability of digital objects it holds over time
• Creates and maintains requisite metadata about actions taken on digital objects during preservation as well as about the relevant production, access support, and usage process contexts before preservation
Source: https://www.crl.edu/archiving-preservation/digital-archives/metrics-assessing-and-certifying/core-re
Principles – Trusted IR (3)
• Fulfills requisite dissemination requirements
• Has a strategic program for preservation planning and action
• Has technical infrastructure adequate to continuing maintenance and security of its digital objects
Source: https://www.crl.edu/archiving-preservation/digital-archives/metrics-assessing-and-certifying/core-re
General Accepted Repository Practice (GARP) http://wiki.lib.sun.ac.za/index.php/SUNScholar/Audit
• Section 1: Policy
• Section 2: Preservation
• Section 3: Sustainability
• Section 4: Visibility
• Section 5: Security
• Section 6: Submissions
• Section 7: Customisation
• Section 8: Digitisation
• Section 9: Promotion
• Section 10: Legal
• Section 11: Community
• Section 12: Compliance
34
Harvesters & harvesting for
institutional repositoriesIna Smith
30 March 2016
Presented during the IR Workshop
University of Pretoria
To increase visibility, IR must be OAI-PMH compliant and apply correct metadata for harvesters to recognize …
Interoperability
OpenAIRE Metadata Compatibility Testing
OpenAIRE Compatibility Testing
Guidelines for Literature Repositories (1)
Guidelines for Literature Repositories (2)
Guidelines for Literature Repositories (3)
Guidelines for Literature Repositories (4)
Validate your IR …
OAI-PMH Data Provider Registry http://gita.grainger.uiuc.edu/registry/
Google Scholar Profile for IR
Next ….
• Web page for IR with supporting information
• Data Seal of Approval
• ISO 16363 Self-Assessment
• ISO 16363 External Audit by NRF/CODATA, other SA auditing body (ISO 16919)?
