Co-operative agreement on the voluntary submission of online publications for indexing and archiving

The following Co-operative Agreement is concluded between
Die Deutsche Bibliothek, referred to hereinafter as the "Library",
Adickesallee 1, D - 60322 Frankfurt a.M.,
represented by its Director General, Dr. Elisabeth Niggemann,

and the
Börsenverein des Deutschen Buchhandels e.V., referred to hereinafter as the "Börsenverein",
Großer Hirschgraben 17-21, 60311 Frankfurt a.M.,
represented by the Publishers' Committee:

Preamble

(1) This co-operative agreement provides rules for the submission of non-physical electronic publications (referred to hereinafter as online publications) by publishers affiliated with the Börsenverein and for the collection, archiving and indexing of such publications by the Library. The Library shall apply these rules in the process of incorporating online publication into its collection in future, and the Börsenverein hereby agrees to recommend compliance with said rules to its members.

(2) The Library and the Börsenverein jointly agree that the primary purpose of this agreement is to provide a means of gathering experience in the submission and processing of online publications on the basis of which a set of final procedures can eventually be developed.

The parties also agree that the online publications stored in accordance with this co-operative agreement are to be used solely within the restricted context of possibilities for on-site (in-house) access, and that the use of collections through remote access to a server operated by the Library shall be excluded, unless the Library has concluded agreements to the contrary with specific submitting publishers.

(3) The Library regards the collection, national-bibliographic indexing and long-term preservation of online publications as a logical extension of its collection mandate, particularly with respect to its responsibilities in the areas of archiving, use, and intellectual property rights.
In recent years, efforts have been undertaken in co-operation with publishers to gather reliable knowledge with respect to the technical and organizational requirements pertinent to the submission and collection of online publications. The following considerations represent the fruits of these co-operative efforts and form the basis for voluntary submission of online publications by publishers for the purposes of indexing and archiving.

(4) In establishing procedures for the submission of online publications in consultation with publishers, the Library seeks, within the scope of its capacities, to select and apply processes which, in conformity with the most advanced state of technology at any given time,

• require the least possible expenditure of effort and resources to achieve the mutual objectives of both sides (publishers and the deposit library),
• apply to the widest possible range of different publication categories and their respective technical characteristics, and
• provide for the highest attainable level of security in data transmission.

(5) The Börsenverein shall encourage its member publishers to submit a deposit copy of every online publication released in Germany and accessible to all interested parties with standard, commercially available technical resources to the Library.

(6) The Library seeks to ensure, within the framework of its capacity for long-term archiving of online publications, that such publications are indexed in the Deutsche Nationalbibliographie and that the use of such publications is governed by the provisions contained in Article 4 and 5 of this agreement.

§ 1 Online publications

(1) The parties to this co-operative agreement declare jointly that they regard online publications as fundamentally worthy of submission and collection.

(2) Publications to be collected under the provisions of this agreement are to include all electronic publications defined and identified by an ISSN or an ISBN and disseminated or made accessible via data networks.

§ 2 Reporting procedures for online publications

(1) Submitting publishers shall voluntarily report the initial release of every online publication or changes in the significant characteristics of previously reported online publications to the Library within two weeks of their release or the effective date of changes.
The Library will establish the technical channels for the transmission of metadata in a step-by-step process.

(2) During the first phase of the program, publication reports will be transmitted via interactive reporting forms made available on the homepage of the Library.

(3) The internationally recognised, widely used Dublin-Core-Element-Set metadata standard shall be employed as a transfer format and adapted to meet the specific requirements of the process as needed.

(4) In subsequent expansion phases, the Library shall keep pace with progressive developments in metadata standards used in publishing, the book trade and the library community.

§ 3 Acceptance of online publication in the Library's deposit system

(1) In order to ensure their long-term availability, online publications must meet the following requirements:

• Portability. The online publication must be capable of transfer into the deposit system.
• Suitability for use. If use of the online publication requires special hardware or software that does not conform to market standards and is distributed solely by the submitting publisher, this hardware/software must be provided with the publication (e.g. proprietary developments in the e-book sector).
• Suitability for archiving: To ensure long-term preservation, the online publication must amenable to copying by the Library.

The Library shall consult with publishers in an effort to establish means of ensuring that media with blocking mechanisms can be archived.

The Library shall co-operate with publishers in establishing requirements and standards for use in describing the characteristics of online publication suitable for archiving.

(2) Submitting publishers shall transmit reported online publications to the Library in a standardised form. Responsibility for the authenticity and integrity of submitted online publications rests with the submitting party.

(3) During the initial phase of the program, online publications will be transmitted to the deposit system of the Library online or submitted on physical media.

(4) In subsequent expansion phases, the data transfer process will be automated in order to minimize the personnel workload required to process individual submissions.

(5) In the interim, both individual submissions and cumulative submission of online publications at specified intervals will be possible.

§ 4 Access to archived online publications

(1) Online publications archived in the deposit system of the Library will be accessible only to authorized users at the library locations in Leipzig, Frankfurt a.M. and Berlin. All other forms of use and all other access location must be approved in writing by the submitting party. Such approval can be given using an approval form made available by the Library. A special provision can be made providing for the establishment of "regional windows" at regional libraries (Art. 6, Section 2).

(2) Authorized users include employees and registered users of the Library. Access to the Library's deposit system is available only to authorized users from terminals located at the Library's facilities in Leipzig, Frankfurt a.M. or Berlin. Authorized users must identify themselves to the system by entering an individual user name and password.
Online publications archived in the deposit system of the Library are sufficiently protected against access by unauthorized users by appropriate technical measures.

(3) Parts of publications may be printed out or downloaded for personal use at a designated central printing and downloading station at the Library. A fee will be charged for printouts and downloads.

§ 5 Online access to publishers' online publications

(1) In addition to access to online publications on the Library's archive server, employees of the Library will also have direct access to publications for the purpose of clarifying matters relating to bibliographic processing and archiving.

(2) Here again, online publications can be accessed - free of charge -- only by Library employees from workstations within the Library.
Decisions regarding access to online publications by registered users of the Library from specified terminals at the Library locations in Leipzig, Frankfurt a.M. and Berlin will be made in direct consultation with the submitting publishers.

§ 6 Co-operation with other deposit libraries

(1) Several German states are currently considering the question of whether responsibility for implementing the law regarding the submission of mandatory deposit copies of online publications should not be assumed entirely and solely by Die Deutsche Bibliothek. The necessary legal, technical and organizational prerequisites would have to be established for this purpose.

(2) The regional libraries, on behalf of which the Library collects and archives online publications, are to be given access as "regional windows" to electronic publications which fall within their respective areas of responsibility.

(3) In the event that such provisions are established at the political level, the Börsenverein and the Library have agreed that the conditions governing use of online publications at regional libraries shall conform with those established on the basis of this co-operative agreement.

§ 7 Long-term preservation and availability

(1) The Library seeks to ensure the long-term availability of online publications archived in its deposit system. The measures required to archive this objective fall into three categories:

• Preservation of data on physical storage media
• Assurance of future suitability for use of the information content of online publications
• Establishment of an "early warning system" designed to promote timely recognition of technical changes that may affect a publication's suitability for use and to prevent impairments of suitability for use.

(2) The Library is currently working at the national and international level on a number of questions that remain to be resolved, while formulating appropriate strategies for action. Once the legislature formally entrusts the Deutsche Bibliothek with corresponding responsibility and authority, the Library will commence practical implementation of the generic model for a "Deposit system for electronic publications" developed within the framework of the "Networked European Deposit Library - NEDLIB".

§ 8 Rights of use by Die Deutsche Bibliothek following mergers, sales and other changes in the status of submitting publishers

The Börsenverein shall recommend to its member publishers that they continue to ensure compliance with the provisions set forth in this co-operative agreement even under altered circumstances resulting from mergers, buyouts of publishing companies or discontinuation of publishing operations.

§ 9 Court of jurisdiction

The court of jurisdiction for this co-operative agreement is Frankfurt am Main.

§ 10 Separability clause

Should any provision of this agreement be invalid or nullified, the validity of the remaining provisions shall not be affected. The parties to the agreement accept the obligation to replace invalid provisions with corresponding provisions which most closely reflect the intent and purpose of the agreement.

§ 11 Secondary agreements

(1) All amendments or additions to this agreement must be recorded in writing.
(2) The agreement is issued in two original copies; each party shall receive one original copy.

Frankfurt am Main im März 2002	Frankfurt am Main im März 2002
gezeichnet	gezeichnet
Dr. Jürgen A. Bach, Chairman of the Publishers' Committee of the Börsenverein des Deutschen Buchhandels e. V.	Dr. Elisabeth Niggemann, Director General Die Deutsche Bibliothek