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© Arbeitsgruppe "Elektronisches Publizieren" des Rechenzentrum und der Universitätsbibliothek der Humboldt-Universität zu Berlin,

Thinking the long term: the XML-based publishing Workflow for handling electronic theses and dissertations

at Humboldt-University Berlin Susanne Dobratz

Head Electronic Publishing Group of Computer and Media Services/University Library,

Humboldt-University Berlin, Germany


© Arbeitsgruppe "Elektronisches Publizieren" des Rechenzentrum und der Universitätsbibliothek der Humboldt-Universität zu Berlin,Susanne Dobratz: Thinking the long term at ETD2005 ...evolution through discovery, Syney, Australia, 28 - 30 September 2005

Contents

1. Introduction: – Edoc-Server of Humboldt-University– long term preservation of ETDs

2. Trustworthy digital repositories

3. Organisational features of the edoc-Server

4. Technological features of the edoc-Server

5. The XML based publishing approch



The Edoc-Server of Humboldt-University

• Established in 1997, began with ETDs (optional)• 2883 Publications (20. September 2005) from which

– 1028 dissertations– 21 Historical (digitized) dissertations– 273 Professorial dissertations– 31 master and diploma theses

• DINI certificate in 2004• Concentrate on Open Access in 2005



Short: DINI certificate issues

The requirements and recommendations cover:• Server Policy / Guidelines• Authors support• Legal issues• Authenticity and integrity • Catalogueing• Access statistics• Long term availability: self or cooperation



Trustworthy digital repositories

OAIS Compliance

Administrative Responsibility

Organizational Viability

Financial Sustainability

Technological and Procedural Suitability

System security

Procedural Accountability "Trusted Digital Repositories: Attributes and Responsibilities" (RLG; OCLC, Mountain View CA, 2002), http://www.rlg.org/longterm/repositories.pdf

attributes



Organisational features of the edoc-Server

• Policy of the edoc Server• Legal Issues• Authors Support• Maintenance of the service• Usage of adequate technology• Transparency of service, technology and workflow



Policy

• The responsibility of the library is formulated as follows:

“The collection mandate of Humboldt University Library consists of collecting, cataloguing, and archiving all the scientific documents published by the members of Humboldt University. It refers to digitally born documents as well as digital versions of printed documents.

Also included are significant historic documents from the University Library and other institutions that are digitised due to terms of content, conservatory aspects, or the requirements of place-independent use.”



Legal Issues

• Dissertation: publication as requirement to receive degree• ETD: one option to fulfill duty• Often parallel publication planned• Authors sign a specific author publishing contract with the

university library, – the university has reserved the non exclusive copyright– Provide open access to ETD– Deposit copy at German National Library– Provide a copy to a subject gateway

• Obey rights of others for used materials



Authors Support

• Goal: XML as archival format for long term preservation purposes

• In order to receive convertable originals• Support a selection of authoring formats: MS Office,

LaTeX, Staroffice but with ETD specific document styles

• Provide online help, monthly tutorials, telephone support



Maintenance of the service

• University established a joint electronic publishing group of Computer and Media Services (CMS) and University Library in 2002 with permanent staff

• Technology is integrated into the CMS network• Cataluguing is integrated into the library workflow



Usage of adequate technologyTransparency of service, technology and workflow• Consequent aquisition of new project fundings in

order to keep up with technology• Staff of Electronic Publishing Group is active within

different national, international developments• Continous documentation of the system and

workflows• Web server statistics



Technological features of the edoc-Server

• Addressability• Securing integrity and authenticity of the edoc-Server• Securing integrity and authenticity of the documents• Cataloguing• Workflow Management



Addressability: Persistent Identifiers

urn:nbn:de:kobv:11-1009824

National Bibliographic Number Domain:

GermanySubdomain: designations of library association

Production number

Check number

official notation of university libraries



Addressability: urn:nbn:de:kobv:11-1009824



Securing integrity and authenticity of the edoc-Server

• SUN Workstation with 2 x 300 MHz CPU und 1 GB RAM • System maintenanace by CMS specialists• Access control to hardware and system• Use of secure access methods like SSH• Integration into the CMS backup storage with IBM Tivoli

Storage Management• RAID System• Using University Storage Area Network (SAN)



Securing integrity and authenticity of the documents

• Use of digital signatures to be able to detect misuse



Cataloguing: 1. Documents + metadata from author to library



Cataloguing: 2. Documents + metadata from library to edoc-

Server• Use an own development:• A Sybase/PHP based

metadata database• Supports a very flexible

metadata schema, also journals, articles, etc.

• Feeds the browsing structure



Cataloguing: 2. Documents + metadata from library to edoc-

Server• Formal Cataloguing

– OPAC Library -> Metadata database• Subject Cataloguing:

– Regensburg Classification– DDC Subject Headings defined by the

GermanNational Library– Abstracts german / english– Author‘s Keywords german / english



Cataloguing: 3. Documents + metadata from edoc-Server to German National Library



ETD Workflow



The Ideal ETD Process

ETD

Submission

AuthorSystem

Checking

uploadedETD

System CheckedETD

ConversionRevision

convertedETD

CatalogueingAquisition

DepositArchiving

Metadata

convertedETD

Distribution



Supporting the workflow



The XML based publishing approch

• XML choosen as preservation format:– ISO based standard– Vendor independent– Structure and information based on UNICODE– Widely used format

• Before Ingest into edoc documents need to undergo a first migration procedure– Service done by EPUB Group



document in PDF



PDF: behind the scenes

but PDF/Ais ISO standard



Document in XML



to XML:via Word / Staroffice



Presentationin HTML



Summing Up

• Long term preservation puts various demands on an institutional repository,

• Organisationally• Technologically• One important issue is the document format and• XML is a good basis to ensure future accesibility and

readability of the stored documents• But it‘s not a fully automated process



Contact und Information

Electronic Publishing Working Group

Computer- and Media Servies/ University Library

Humboldt- University Berlin

Unter den Linden 6

10099 Berlin

Email: [email protected]

Susanne Dobratz: [email protected]

http://edoc.hu-berlin.de