Different guidelines for assessing institutional repositories.

1. 1
Criteria for a trusted
institutional repository
Ina Smith
30 March 2016
Presented during the IR Workshop
University of Pretoria

2. Agenda
• Definition
• Tools
• Criteria

3. DSpace is OAI-PMH Compliant

4. Articles,
theses,
dissertations
Data & data sets
ResearchLifecycle
DMP

5. 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)

6. 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

7. 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

8. 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)

9. 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)

10. 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

11. 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

12. Data Seal of Approval
http://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

15. 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

16. 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

17. Preparing for an ISO 16363 self-
assessment
• Excel spread sheet:
http://wiki.lib.sun.ac.za/index.php/SUNScholar/Au
dit
• Assess repository in terms of:
• Organisational infrastructure
• Digital object management
• Infrastructure and security risk management

18. 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

19. Organisational Infrastructure (2)
• Sufficient organizational structures:
personnel, finance, long-term planning,
continuity of service
• Processes & responsibilities are defined &
documented

20. 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

21. Object management (2)
• Digital material & related metadata
packaged together for permanent
preservation

22. Infrastructure & security
• IT infrastructure secure

23. ISO 16919 – Auditing Body

24. Other auditing & certification systems

25. Center for Research Libraries
TRAC/ISO 16363 https://www.crl.edu/archiving-preservation/digital-archives/metrics

26. International Council for Science
World Data System https://www.icsu-
wds.org/services/certification

27. DRAMBORA http://www.repositoryaudit.eu/

28. 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

29. 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)

30. 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

31. 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

32. 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

33. 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. 34
Harvesters & harvesting for
institutional repositories
Ina Smith
30 March 2016
Presented during the IR Workshop
University of Pretoria

37. To increase visibility, IR must be OAI-PMH compliant and apply
correct metadata for harvesters to recognize …

38. Interoperability

39. OpenAIRE https://www.openaire.eu/

40. OpenAIRE Metadata Compatibility
Testing

41. OpenAIRE Compatibility Testing

42. Guidelines for Literature Repositories (1)

43. Guidelines for Literature Repositories (2)

44. Guidelines for Literature Repositories (3)

45. Guidelines for Literature Repositories (4)

46. Validate your IR …

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

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

49. Harvesters - openDOAR
http://www.opendoar.org/

50. Harvesters - ROAR
http://roar.eprints.org/

51. Harvesters – SA National ETD Portal
http://www.netd.ac.za/

52. Harvesters – DATAD
http://datad.aau.org/

53. re3data.org
http://service.re3data.org/

54. Open Access Map
http://www.openaccessmap.org/

55. Webometrics Ranking
http://repositories.webometrics.info/

56. Google Scholar Profile for IR

57. 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)?

58. Thank you!
Ina Smith
SciELO Planning Manager, ASSAf
ina@assaf.org.za