1. Institutional Repositories Presentation for Kentuckiana Metroversity Meeting February 10, 2005 Eric Weig Head, Digital Programs University of Kentucky Libraries

2. Reality Check Users want access to everything in digital format. Users want access to everything in digital format. In Academia, gigabytes of digital files stored on thousands of disks on personal and institution departmental computers are not managed and preserved in a systematic way. In part, this is due to the continued trust in and reliance on paper as the medium of record. In Academia, gigabytes of digital files stored on thousands of disks on personal and institution departmental computers are not managed and preserved in a systematic way. In part, this is due to the continued trust in and reliance on paper as the medium of record. More and more of the output of the academy never makes it to paper, and the digital file is the only record of these activities. More and more of the output of the academy never makes it to paper, and the digital file is the only record of these activities. Digital preservation is an unsettled and continually evolving field. Digital preservation is an unsettled and continually evolving field. It is essential to any college or university’s mission and history that materials with long term value are managed and preserved, and that other researchers are provided access to them where appropriate. It is essential to any college or university’s mission and history that materials with long term value are managed and preserved, and that other researchers are provided access to them where appropriate.

3. Trusted Digital Repository 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. To meet expectations all trusted digital repositories must: accept responsibility for the long-term maintenance of digital resources on behalf of its depositors and for current and future users; have an organizational system that supports not only long-term viability of the repository, but also the digital information for which it has responsibility; demonstrate fiscal responsibility and sustainability; design its system(s) in accordance with commonly accepted conventions and standards to ensure the ongoing management, access, and security of materials deposited within it; be depended upon to carry out its long-term responsibilities to depositors and users openly and explicitly; have policies, practices, and performance that can be audited and measured (Attributes of a Trusted Digital Repository: Attributes and Responsibilities, An RLG-OCLC Report, May 2002.)

4. Broad Definition of Institutional Repository Any collection of digital material hosted, owned or controlled, or disseminated by a college or university. Any collection of digital material hosted, owned or controlled, or disseminated by a college or university.

5. Narrowed Common Institutional Repository Definition A digital archive of the intellectual product created by the faculty, research staff, and students of a college or university. A digital archive of the intellectual product created by the faculty, research staff, and students of a college or university. Institutionally defined vs. subject based repository Institutionally defined vs. subject based repository Content possessing enduring value Content possessing enduring value Cumulative and perpetual Cumulative and perpetual Open and Interoperable Open and Interoperable Collects, stores, and disseminates Collects, stores, and disseminates Designed for long-term preservation Designed for long-term preservation

6. Kentuckiana Digital Library A digital archive of historically significant material documenting the history and heritage of Kentucky. A digital archive of historically significant material documenting the history and heritage of Kentucky. Subject based vs. institutionally defined repository Subject based vs. institutionally defined repository Content possessing enduring value Content possessing enduring value Cumulative and perpetual Cumulative and perpetual Open and Interoperable Open and Interoperable Collects, stores, and disseminates Collects, stores, and disseminates Designed for long-term preservation Designed for long-term preservation

7. Institutionally or Subject Based Institutionally: Original research and other intellectual property generated by an institution's constituent population representative of many academic fields. Institutionally: Original research and other intellectual property generated by an institution's constituent population representative of many academic fields. Subject Based: Centered around a given topic or subject area. Subject Based: Centered around a given topic or subject area.

8. Content Possessing Enduring Value Make accessible an institution's intellectual capital and digital assets. Make accessible an institution's intellectual capital and digital assets. Scholarly content that may include pre-prints and other works-in-progress, peer-reviewed articles, monographs, enduring teaching materials, data sets and other research material, conference papers, electronic theses and dissertations. Scholarly content that may include pre-prints and other works-in-progress, peer-reviewed articles, monographs, enduring teaching materials, data sets and other research material, conference papers, electronic theses and dissertations. Materials documenting an institution’s history. Materials documenting an institution’s history. For subject based institutional repositories, this is material that has gone through a formal selection process where relevance and significance has been established, most often by scholars or content experts. For subject based institutional repositories, this is material that has gone through a formal selection process where relevance and significance has been established, most often by scholars or content experts.

9. Cumulative and Perpetual Material submitted to the repository is regulated by developed criteria and policies that oversee who is allowed to submit material and what attributes are required for submitted material. Material submitted to the repository is regulated by developed criteria and policies that oversee who is allowed to submit material and what attributes are required for submitted material. Once material is submitted, it cannot be removed except under special, clearly defined circumstances. Once material is submitted, it cannot be removed except under special, clearly defined circumstances. Institutional commitment to maintain repository in perpetuity. Institutional commitment to maintain repository in perpetuity.

10. Collects, Stores, and Disseminates Repository has the ability to ingest new material, store that material, and provide access through digital dissemination of stored material. Repository has the ability to ingest new material, store that material, and provide access through digital dissemination of stored material. This process relies on a secure network infrastructure, established policies and practices regulating collection, retention and access as well as necessary human capital required to manage, develop, and maintain the repository’s administrative and technical infrastructure. This process relies on a secure network infrastructure, established policies and practices regulating collection, retention and access as well as necessary human capital required to manage, develop, and maintain the repository’s administrative and technical infrastructure.

11. Open and Interoperable Goal of providing a repository that is accessible to the Institution’s populous as well as to the larger national and international research community. Goal of providing a repository that is accessible to the Institution’s populous as well as to the larger national and international research community. Access to some content may be limited due to copyright restrictions, policies established by a particular research community (limiting access to departmental working papers to members of that department, for example), and even monetary access fees for certain data. Access to some content may be limited due to copyright restrictions, policies established by a particular research community (limiting access to departmental working papers to members of that department, for example), and even monetary access fees for certain data.

12. Open and Interoperable, cont. Repository systems support interoperability in order to provide broad access via multiple search engines and other current and future discovery tools. Repository systems support interoperability in order to provide broad access via multiple search engines and other current and future discovery tools. Developed on non-proprietary infrastructure that is open and well defined. Developed on non-proprietary infrastructure that is open and well defined. Uses accepted and developed standards for data integrity and extensibility. Uses accepted and developed standards for data integrity and extensibility. Description of policies and practices regarding the digital repository are well documented and made publicly available where appropriate. Description of policies and practices regarding the digital repository are well documented and made publicly available where appropriate. Model of Choice: OAIS (Open Archival Information System) Model of Choice: OAIS (Open Archival Information System)

13. Designed for Long-Term Preservation Wherever possible, define and promote digital file formats and standards that promote long term viability and future migration of digital content. Wherever possible, define and promote digital file formats and standards that promote long term viability and future migration of digital content. Keep up with software and hardware upgrades. Keep up with software and hardware upgrades. Collect and maintain administrative metadata concerning your digital assets. Collect and maintain administrative metadata concerning your digital assets. Establish redundancy in data storage Establish redundancy in data storage Develop, maintain and implement migration plans that include integrity checks to assure that migrated data has not suffered data loss. Develop, maintain and implement migration plans that include integrity checks to assure that migrated data has not suffered data loss. Institution establishes recurring funding to adequately sustain the repository. Institution establishes recurring funding to adequately sustain the repository.

14. OAIS (Open Archival Information System) The Consultative Committee for Space Data Systems (CCSDS) was established in 1982 to provide an international forum for space agencies interested in the collaborative development of standards for data handling in support of space research. At the request of the ISO, CCSDS assumed the task of coordinating the development of archive standards for the long-term storage of digital data. A reference model was developed to establish common terms and concepts, provide a framework for establishing the significant entities and relationships among entities in an archive environment, and serve as the foundation for the development of standards supporting the archive environment. Draft OAIS reference model released in May 1999. An OAIS is an archive, consisting of an organization of people and systems, that has accepted the responsibility to preserve information and establish long term access for a Designated Community. Long Term is long enough to be concerned with the impacts of changing technologies, including support for new media and data formats, or with a changing user community. Long Term may extend indefinitely. (Reference Model for an Open Archival Information System (OAIS), Management Council of the Consultative Committee for Space Data Systems, January, 2002.)

15. OAIS Model Consumer Management OAIS SIP DIP AIP Administration Preservation planning IngestAccess AIP Data management Archival storage Descriptive info Producer

16. OAIS Information Package Types Information Packages: Gathered metadata concerning digital objects. Information Packages: Gathered metadata concerning digital objects. SIP (Submission Information Package): sent from the information/metadata producer to the archive SIP (Submission Information Package): sent from the information/metadata producer to the archive AIP (Archive Information Package): information package actually stored by the archive, the SIP metadata reformatted for preservation and archival storage AIP (Archive Information Package): information package actually stored by the archive, the SIP metadata reformatted for preservation and archival storage DIP (Dissemination Information Package): information package transferred from the archive in response to a request by a consumer, the AIP metadata reformatted for various distribution methods established to meet user needs. DIP (Dissemination Information Package): information package transferred from the archive in response to a request by a consumer, the AIP metadata reformatted for various distribution methods established to meet user needs.

17. A Bit About Metadata Descriptive: describes a resource for purposes such as discovery and identification. It can include elements such as title, abstract, author, and keywords. Descriptive: describes a resource for purposes such as discovery and identification. It can include elements such as title, abstract, author, and keywords. Structural: indicates how compound objects are put together, for example, how pages are ordered to form chapters. Structural: indicates how compound objects are put together, for example, how pages are ordered to form chapters. Administrative: provides information to help manage a resource, such as when and how it was created, file type and other technical information, and who can access it. Subsets of administrative data are: Administrative: provides information to help manage a resource, such as when and how it was created, file type and other technical information, and who can access it. Subsets of administrative data are: Rights management metadata, which deals with intellectual property rights Rights management metadata, which deals with intellectual property rights Preservation metadata, which contains information needed to archive and preserve a resource. Preservation metadata, which contains information needed to archive and preserve a resource.

18. OAIS Metadata Solutions METS (Metadata Encoding & Transmission Standard): A standard for encoding descriptive, administrative, and structural metadata regarding objects within a digital library, expressed using the XML schema language of the World Wide Web Consortium. METS (Metadata Encoding & Transmission Standard): A standard for encoding descriptive, administrative, and structural metadata regarding objects within a digital library, expressed using the XML schema language of the World Wide Web Consortium. OAI (Open Archives Initiative): The Open Archives Initiative Protocol for Metadata Harvesting provides an application- independent interoperability framework based on metadata harvesting. There are two classes of participants in the OAI-PMH framework: OAI (Open Archives Initiative): The Open Archives Initiative Protocol for Metadata Harvesting provides an application- independent interoperability framework based on metadata harvesting. There are two classes of participants in the OAI-PMH framework: Data Providers administer systems that support the OAI-PMH as a means of exposing metadata; and Data Providers administer systems that support the OAI-PMH as a means of exposing metadata; and Service Providers use metadata harvested via the OAI-PMH as a basis for building value-added services. Service Providers use metadata harvested via the OAI-PMH as a basis for building value-added services.

19. Software Solutions: Open Source DSpace: Current digital repository system that most closely aligns with the OAIS model. Open source in nature and freely distributed to academic institutions. DSpace: Current digital repository system that most closely aligns with the OAIS model. Open source in nature and freely distributed to academic institutions. EPrints: Repository system built around the OAI protocal for self-archiving, harvesting, storing, and distributing OAI-compliant metadata. EPrints: Repository system built around the OAI protocal for self-archiving, harvesting, storing, and distributing OAI-compliant metadata. FEDORA: Flexible and Extensible Digital Object and Repository Architecture system, designed by the Cornell Digital Library Research Group FEDORA: Flexible and Extensible Digital Object and Repository Architecture system, designed by the Cornell Digital Library Research Group

20. Software Solutions: Open Source, cont. CDSware: Electronic web preprint server. Complies with the Open Archives Initiative metadata harvesting protocol (OAI-PMH) and uses MARC 21 as its bibliographic standard. CDSware: Electronic web preprint server. Complies with the Open Archives Initiative metadata harvesting protocol (OAI-PMH) and uses MARC 21 as its bibliographic standard. DLXS (Digital Library Extension Service): Open Source Software developed by the University of Michigan Digital Library Production Service. DLXS (Digital Library Extension Service): Open Source Software developed by the University of Michigan Digital Library Production Service. Greenstone: Software for building and distributing digital library collections. Produced by the New Zealand Digital Library Project at the University of Waikato. Greenstone: Software for building and distributing digital library collections. Produced by the New Zealand Digital Library Project at the University of Waikato.

21. Software Solutions: Vendor Platforms Ebrary Ebrary Endeavor Encompass Endeavor Encompass CONTENTdm: XML-based digital library management software licensed by OCLC. CONTENTdm: XML-based digital library management software licensed by OCLC. Exlibris DigiTool Exlibris DigiTool

22. Software: Vendor vs. Open Source Open Source software is a less expensive option in terms of software licensing, but can require more expertise to implement and manage. However, open source software with a well established user community is often very approachable even with limited technical expertise. Open Source software is a less expensive option in terms of software licensing, but can require more expertise to implement and manage. However, open source software with a well established user community is often very approachable even with limited technical expertise.

23. Software: Vendor vs. Open Source, cont. The future of vendor supplied software is dependent upon profit. Thus, one should be prepared for the possibility that in the event that the software becomes unprofitable for a vendor, they may cease its development. Can be a risky investment to be among the early implementers of a new vendor produced solution. The future of vendor supplied software is dependent upon profit. Thus, one should be prepared for the possibility that in the event that the software becomes unprofitable for a vendor, they may cease its development. Can be a risky investment to be among the early implementers of a new vendor produced solution.

24. When Choosing Vendor Solution Make sure vendor software utilizes underlying data structures that adhere to well-established open standards, thus allowing your data to remain non-proprietary in nature. Make sure vendor software utilizes underlying data structures that adhere to well-established open standards, thus allowing your data to remain non-proprietary in nature. Check vendor customer lists to make contacts with and gather feedback from others already using the software. Check vendor customer lists to make contacts with and gather feedback from others already using the software.

25. The Future of Open Source vs. Vendor Software There has been a lot of leveraging over the last five years to provide open source solutions for digital repositories. Key advances concerning technological standards like OAI and METS have more recently provided a level of consensus that is leading to even more open source possibilities. There has been a lot of leveraging over the last five years to provide open source solutions for digital repositories. Key advances concerning technological standards like OAI and METS have more recently provided a level of consensus that is leading to even more open source possibilities. METS Implementation Registry: http://sunsite.berkeley.edu/mets/registry/ METS Implementation Registry: http://sunsite.berkeley.edu/mets/registry/

26. IR Projects Institutional Based: Institutional Based: DSpace at MIT DSpace at MIT California Digital Library’s eScholarship California Digital Library’s eScholarship ePrints.org ePrints.org University of Virginia’s Fedora Project University of Virginia’s Fedora Project CODA at the California Institute of Technology CODA at the California Institute of Technology Ohio Knowledge Bank at Ohio State University Ohio Knowledge Bank at Ohio State University Subject Based: Subject Based: Online Archive of California Online Archive of California American Memory American Memory

27. References for Further Reading Crow, Raym, “The Case for Institutional Repositories: A SPARC Position Paper” August 2002.. Crow, Raym, “The Case for Institutional Repositories: A SPARC Position Paper” August 2002..http://www.arl.org/sparc/IR/ir.html Drake, Miriam A., “Institutional Repositories: Hidden Treasures” Searcher: The Magazine for Database Professionals, vol. 12 no. 5 (May 2004). http://www.infotoday.com/searcher/may04/drake.shtml>. Drake, Miriam A., “Institutional Repositories: Hidden Treasures” Searcher: The Magazine for Database Professionals, vol. 12 no. 5 (May 2004). http://www.infotoday.com/searcher/may04/drake.shtml>. http://www.infotoday.com/searcher/may04/drake.shtml Johnson, Richard K., “Institutional Repositories: Partnering with Faculty to Enhance Scholarly Communication,” D-Lib Magazine vol. 8 no. 11 (November 2002).. Johnson, Richard K., “Institutional Repositories: Partnering with Faculty to Enhance Scholarly Communication,” D-Lib Magazine vol. 8 no. 11 (November 2002)..http://www.dlib.org/dlib/november02/johnson/11johnson.html Lavoie, Brian, “Meeting the Challenges of Digital Preservation: The OAIS Reference Model” OCLC Newsletter, no. 243 (January/February 2000):26- 30.. Lavoie, Brian, “Meeting the Challenges of Digital Preservation: The OAIS Reference Model” OCLC Newsletter, no. 243 (January/February 2000):26- 30..http://www.oclc.org/research/publications/archive/2000/lavoie/ Lynch, Clifford A., “Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age” ARL no. 226 (February 2003): 1-7.. Lynch, Clifford A., “Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age” ARL no. 226 (February 2003): 1-7..http://www.arl.org/newsltr/226/ir.html Tennant, Roy, “Institutional Repositories” Library Journal (September 2002).. Tennant, Roy, “Institutional Repositories” Library Journal (September 2002)..http://www.libraryjournal.com/article/CA242297?display=searchResults&stt =001&text=institutional%2Brepositorieshttp://www.libraryjournal.com/article/CA242297?display=searchResults&stt =001&text=institutional%2Brepositories