The GND eligibility criteria
In the course of broadening participation in the GND, a wide variety of institutions are using the GND and wish to integrate data according to their own requirements. It is therefore important to establish transparent prerequisites, framework conditions and processes for integrating new data into the GND.
What criteria are in place for deciding whether or not data-records are included in the GND? Who makes these decisions? How is responsibility for these data determined? What steps must be taken before a data set can be integrated into the GND or before a new institution can actively participate in the recording/editing of GND entities?
This demand for clarity goes both ways:
- Potential users must be familiar with and apply the principles of the GND and take responsibility for the data they integrate.
- The GND rules must be documented in a way that is transparent, clearly formulated and easy for new user groups to comprehend.
Eligibility criteria
There is a legitimate demand and the data serve the purpose of the GND
Principle: The GND is meant to provide links for the network of culture and academia.
Criterion: A new authority data record is created when required as a reference by external databases or resources, or when it contributes to improving the internal structuring of the GND (e.g. the amendment of generic terms). The anticipatory creation of authority data records is permitted only when the data provider can prove that there is a need for said record within the GND community (e.g. when the amendment of a closed authority-data corpus in its entirety would result in an improved work balance).
Example of valid applications include the following:
Beispiele für valide Anwendungsfälle sind:
The entity represented by an authority data record is e.g.
- a search entry for thematic or formal literary research in a library catalogue,
- the subject of academic enquiry within a research database or the
- material witness of an era for the purpose of imparting historical awareness
Examples: Barbarossaleuchter; Codex Manesse
- Other suitable entities comprise all those entities that represent basic identifying information for the data described in 1. (Example: Au [near Munich, independent until 1854] was the location of the Au Paper Mill)
Principle: The GND guides users to cultural and academic resources and information services. It does not constitute a discrete specialist database or encyclopedia. Authority data records therefore exclusively contain information suitable for the purposes of identification and disambiguation as well as fundamental contextualization and research (alternative name forms and connections). The data network created by the GND contains considerably more information on an entity than the GND does itself.
Criterion: The GND is only enriched with the kinds of data that serve the above-mentioned purposes. Specialized information and extensive details are better stored in the associated specialist databases and knowledge systems.
- Whether or not a piece of information belongs in the GND in line with the aims outlined above is not always readily apparent; this must be weighed up on a case-by-case basis. The benchmark for making this assessment can shift as the result of changed application contexts.
- When creating or editing a data record, an assessment must be made for each piece of information as to whether it serves the above purposes and whether it can be omitted.
- One must be especially critical when assessing the provision of information whose nature or level of detail is not usually found in the GND.
- Prior to undertaking systematic enrichment measures, it is vital to coordinate with the GND central office and responsible GND agencies in order to assess the eligibility of the data.
- The new application contexts that arise by broadening participation in the GND mean that new kinds of information are being integrated that do not conform to the sort of information conventionally used for the purposes of identification, disambiguation and fundamental contextualization. However, this process is occurring in a coordinated manner, subject to an assessment of the requirements, is being documented and is in line with the current regulations (see below).
Prospects for future development:
- It is more convenient for all the systems linked to the GND when data enrichments are delivered directly to the GND. In this way, the need to integrate and query additional systems is removed. This creates the false incentive of copying data from other sources into the GND solely for the purposes of enrichment. Removing this incentive requires easy ways to access the entire data network of the GND, i.e. including the data of the linked-up data sources. The EntityFacts interface and the GND-Explorer currently under development provide the basis for this. Both services are being incrementally expanded. There is also the option in future of querying centrally aggregated information from the entire data network alongside each GND entity without having to copy the information for this directly into the corresponding GND data record.
- The GND4C project is using selected case studies to examine data sets potentially suitable for integration within the GND. At the same time, the project has examined the applicability of these general statements with regard to the respective entity types.
The data are under an open license
Principle: The data of the GND are in the public domain to ensure their unrestricted usability. By integrating data into the GND, the data provider agrees to this condition.
Criterion: Only such data may be integrated where the provider’s permission has been granted for it to be recorded, disseminated and published in the public domain.
The data are reliable
Principle: The reliability and reference of the data are a key prerequisite for an authority file.
Criterion: The data must be demonstrably certified, reliable and referenced. Although no regulation is currently in place within the GND demanding the consistent provision of source references for information, all information should nevertheless come from recognized sources (one example of this is the list of specialist reference works for the GND, only available in German) or have been sourced in compliance with co-ordinated regulations for the cataloguing of a cultural artifact (e.g. in the context of a library analysis of a data resource).
Prospects for future development: Until now, source references have above all been utilized for content cataloguing in order to leave a record of the reference work used when creating an entry. The option of storing source references for individual data-record elements should be generally expanded.
The data meet the currently applicable GND regulations
Principle: The recording of data in accordance with common standards is a fundamental hallmark of the GND. The purpose of this is to achieve broad uniformity, consistency and clarity of information and compatibility with other standards and systems.
Criterion: The new data meet the currently applicable regulations. These are always publicly documented (cf. GND information page).
The rules as they currently stand still focus heavily on library-specific requirements, standards and traditions. In light of the changing requirements of the growing GND community, the regulations are being further developed on a continuous basis with a due sense of proportion. Requests for the integration of new data provide a key impetus for this further development. Where certain requirements cannot be met at the time of the request and data can only be integrated to a limited extent, this situation may change in the course of the further development of the regulations and the data model. The decision as to whether and how an amendment to the rules can be implemented is a community-led process that can vary in duration depending on the nature of the desired amendment. Until the official publication of amended rules, the currently applicable regulations must always be observed when integrating data.
Prospects for future development:
- Addition of application-specific rules (so-called “PLUS rules”): The GND4C project is developing a concept that allows for application-specific rules to be taken into account. The basis for this continues to be a core of common rules (“CORE rules”). An application community can amend these common rules with a set of differentiated / expanded rules. PLUS rules must always align with the CORE rules. The application of a rule must also be traceable within an authority data record. The project is therefore developing a general concept that makes it possible to label each element recorded on the basis of application-specific rules. One example of an application community is the library community of the German-speaking regions (DACH area), whose specific regulatory requirement arise from the demands of library cataloguing.
- Revising and modularizing the documentation: The “DACH Documentation Platform” project is currently drawing up the foundations for a revision of the documentation of the GND regulations. The future documentation will clearly distinguish between common and application-specific regulations.
Data maintenance is permanently ensured
Principle: The organization and workflow underpinning the GND ensure clear, permanent responsibilities and persistence. The GND agencies assume a key role here, as they take permanent responsibility for the long-term maintenance of the data created within their area of responsibility. The respective area of responsibility is documented in the data record in the form of an ISIL, a standard identifier for libraries and similar institutions.
Criterion: The institution providing the data possesses an ISIL. There is also an agreement in place between the institution and a GND agency stating that said institution assumes overall responsibility on behalf of the GND community for the editorial tasks associated with the newly integrated authority data records (such as corrections, amendments, any necessary deletions, etc.).
The division of tasks between the agency and the institution providing the data is a matter for both parties to resolve. In many cases, the practical aspects of data maintenance are undertaken by the institution providing the data insofar as it has the necessary knowledge, whereas the agency above all acts as a mediator and point of contact, as well as overseeing the quality-assurance procedures.
Prospects for future development: The GND4C project is developing materials and tools for successfully operating GND agencies, and establishing specific new agencies, in order to meet the great demand in terms of collaborating on and utilizing the GND. The long-term funding of the agency tasks poses the greatest challenge and obstacle to the inclusion of additional institutions. In this area, the GND central office and the project stakeholders are seeking to provide better framework conditions through lobbying and by participating in funding programs.
Principle: The permanent responsibility also applies to amendments to existing data records. As things currently stand, however, responsibilities cannot be assigned to individual information elements or sections of a data record. For this reason, responsibility is currently always assigned for the entire authority data record. Before the integration or correction of a data record outside of one’s own area of responsibility, it is therefore always necessary to obtain an agreement in principle or one relating to the specific instance with the responsible institution. This is especially important if a systematic enrichment of several authority data records is to be carried out.
Criterion: When integrating or correcting an existing data record outside of one’s own formal area of responsibility, an agreement in principle or one relating to the specific instance has been arranged with the responsible institution.
The GND is a community project. The correction of errors and improvement of authority data records should not be limited solely to those data records that fall under one’s own formal area of responsibility, but can and should be performed on a reciprocal basis. The foundation for this is respectful communication between the participants.
The GND is a community project. The correction of errors and improvement of authority data records should not be limited solely to those data records that fall under one’s own formal area of responsibility, but can and should be performed on a reciprocal basis. The foundation for this is respectful communication between the participants.
Prospects for future development: There are plans in place for the introduction of community-specific and application-specific regulations and sections of authority data records (so-called “PLUS” sections) in the course of the further development of the GND. This step must include the option of assigning separate areas of responsibility for these sub-sections within a data record. The option of adding labels to sub-sections within a data record and to discrete statements is being discussed. With the introduction of granular responsibilities, the workflows for correction requests and the importance of the overall responsibility for a specific data record must also be re-examined.
The operational and technical framework conditions are set
Principle: The GND is integrated within operational data streams and business processes, and must therefore also be reliable at operational level. Data-import processes must not disrupt operational processes.
Criterion: The new data are compatible with existing processes and workflows. In some instances, the data initially necessitate the creation of technical or operational framework conditions (such as filter options, adjustments to indexing processes and synchronization settings in linked-up systems). In this case and if the other eligibility criteria are met, the GND cooperative must first coordinate on these issues internally and/or system adjustments must be made. It is the task of the GND head office to organize the assessment of this aspect.
If this involves entity types that have hitherto featured very infrequently within the GND or data that are not recorded according to specifically agreed regulations (see above) the entire data set must be labelled accordingly so that it can be filtered out where required when the GND is accessed by other users.
Prospects for future development: The GND cooperative is collaborating on dismantling technical dependencies and limitations that inhibit participation in the GND.
Workflow for importing new data sets (what is the decision-making process?)
- Request: An institution wishes to integrate data into the GND and issues its request to the GND central office or the responsible GND agency. The institution provides a description of the data together with example data.
- Initial evaluation: On the basis of the eligibility criteria, the GND central office or GND agency evaluates the eligibility of the data for integration within the GND.
- Detailed analysis and coordination: If the data seem eligible in principle, the framework conditions for integrating the data are discussed. Depending on the type and scope of the data, the institution providing the data also conducts analyses of the entire data set in collaboration with the responsible agency during this step.
The necessary arrangements include:The necessary arrangements include:
a) Discussions as to the volume of data to be imported: it may be the case that some of the data records are ineligible or that certain information elements are excluded from the importation process (e.g. because these do not conform to the current rules or are deemed to not be in line with the purpose of the GND).
b) Determination of overlaps with existing authority data records (duplication assessment): It is important that the parties coordinate to avoid duplication, with regard both to data integration and to systemic intellectual enrichment projects.The evaluation and detailed analysis can yield three different findings:
- The evaluated data meet the eligibility criteria. In this case, the data set can be imported without any further coordination according to the requisite information.
- After evaluating all the criteria, the data are classed as ineligible. The GND central office or responsible GND agency will deny the request and provide its reasoning for the decision.
- There are some grey areas/not all the conditions have been met. In this case, the GND central office or responsible GND agency must collaborate with the affected committees to determine whether or not the conditions can be established for integrating the data.
This might be due to the following issues, for example:
a) The institution providing the data set does not meet one of the conditions: (it is unable to guarantee the long-term maintenance of the data, for example.) The GND central office may be able to help in finding a suitable GND agency where required.
b) Rules/data model: The requirement not covered by the current rules/data model is incorporated in the course of the continuous revision of the frameworks. The next steps depend on the work involved in making the change and can range from submitting a request to the GND committee for an amendment to the frameworks, to developing a concept within a team of experts.
4. Planning the data-importation process: If all the conditions for integrating the data are met (including the availability of all the data in a jointly coordinated format), the next stage is to plan the specific importation process. The information on the planning of data imports (entity type, scope, likely date of the import, etc.) is currently found under Imports into the GND. The affiliated partners are informed by e-mail no later than four weeks before the productive import. In the event that the limits determined by the GND partners for new data records and changes to existing data records per day (Upper limits for batch changes) cannot be adhered to, the dates must be coordinated in detail with the affiliated partners.
Modification date: May 22, 2023