criteria for a trusted institutional repository

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

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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

DRAMBORA http://www.repositoryaudit.eu/

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 https://www.openaire.eu/

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 …

Open Archives Initiative http://re.cs.uct.ac.za/

OAI-PMH Data Provider Registry http://gita.grainger.uiuc.edu/registry/

Harvesters - openDOAR

http://www.opendoar.org/

Harvesters - ROAR

http://roar.eprints.org/

Harvesters – SA National ETD Portal

http://www.netd.ac.za/

Harvesters – DATAD

http://datad.aau.org/

re3data.org

http://service.re3data.org/

Open Access Map

http://www.openaccessmap.org/

Webometrics Ranking

http://repositories.webometrics.info/

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)?

Thank you!

Ina Smith

SciELO Planning Manager, ASSAf

ina@assaf.org.za