Transcript Slide 1

E-PRINTS
AND THE OPEN ARCHIVE INITIATIVE
- OPPORTUNITIES FOR LIBRARIES
(to build a bridge over the digital divide)
Pauline Simpson
Southampton Oceanography Centre, UK
Southampton
Oceanography Centre
IAMSLIC 2002
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Synopsis
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e-Print drivers
Crisis in scholarly communication
Solutions
Alternative scholarly publications
e-Print archives
Open Archive Initiative
Subject v institutional e-Print archives
Libraries role
Requirements for setting up an institutional archive
Policy implications
Proposal for a cross search Marine science e-Print archive
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
e-Print Drivers
– ‘invisible university’ culture
• Exchange draft publications – high energy
physics – 50 authors
– Evolving digital environment –
electronic transmission
• Los Alamos 1991 framework
– Crisis in scholarly publication
– Call for open access
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Crisis in Scholarly Communication
• journals are the primary research
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publication channel
journal publishing is dominated by
commercial ventures
– A vicious circle :
• Researchers write papers for journals (free or page
charges!)
• Researchers transfer copyright to publishers (free)
• Libraries pay huge subscriptions to publishers to
access the paper and universities pay more than
once: subscription, photocopying license and for
study packs
• Or possibly cannot afford the subscription
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
The Global Journals Problem
Journal price index
140%
Current serials per fte
120%
Journal expenditure per fte
Book price index
100%
Books acquired per fte
Book expenditure per fte
80%
Retail Price index
60%
40%
20%
0%
-20%
-40%
91-92
92-93
93-94
94-95
95-96
96-97
97-98
98-99
99-00
1986-2000
Journal price inflation +291%
Retail price index
+ 70%
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
PROJECTED
PERIODICAL
PRICES TO
2020
(Blixrud
2002)
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Solutions
• Alter the research landscape
– Alternative publishing models
– e-Print archives
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Alternate Publishing Models - SPARC
SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION
An initiative of the Association of Research Libraries
• Worldwide alliance of universities, research
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libraries, and organizations
Constructive response to market dysfunctions in
the scholarly communication system
Supports open access to scholarly information
through development of economic alternatives by
taking advantage of the networked digital
environment
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
New Players
University Initiatives
• Univ. Arizona: J. Insect
Science
• Univ. Bielefeld: Documenta
Mathematica
Journal of
Insect Science
www.insectscience.org
• Univ. California: eScholarship
• Columbia Univ: Earthscape
• Cornell Univ/Duke Press:
Project Euclid
• Univ. Warwick: Geometry &
Topology Publications
Independent startups
• Evolutionary Ecol. Rsrch.
• Internet Journal of
Chemistry
Hybrids
• BioOne
www.BioOne.org
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
E-Print archives : some definitions
• Reprints are published papers,
usually in paper copy.
• e-Prints are electronic copies of any
research output (journal article, book
chapter, conference paper etc.)
– preprints – unpublished papers before
they are refereed
– postprints – papers after they have been
refereed
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
e-Print archives
• Electronic depository of e-Prints, usually internet
based for free access and dissemination
• Establishment of Institutional and discipline
based archives that allow public access to content
and employ the Open Archive Initiative Metadata
Harvesting Protocol
• OAI compliant e-Print archives share the same
metadata tags making their contents
interoperable
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Open Archive Initiative
• Supported by Digital Library Federation & NSF
• Roots in an effort to enhance access to e-Print
archives as a means of increasing availability of
scholarly communication
• OAI Metadata Harvesting Protocol (V.2) which
creates potential for interoperability between ePrint archives by enabling metadata from a
number of archives to be collected together in a
searchable database.
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Metadata Harvested
• Dublin Core Metadata Elements
• Normally includes information such
as Author, title, subject, abstract,
date
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
OAI e-Print Providers
• Data Providers are archives that expose
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metadata to harvesters
Service Providers harvest metadata and
provide value added services with it
• Conceptually different but in reality
archives provide both service directly to
users and metadata for automated
harvesters
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Open
Repositories
Institutional
Servers
Author
Disciplinary
Servers
Journals
(e.g., PLoS model)
Interoperability Standards
Open Archives
Value-added
Services
Integrated
scholarly
communities
Reader
Search tools
Workflow
Applications
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
OAI
• Creates conditions for making distributed
archives interoperable.
• Potential for a cross searchable global virtual
research archive in which papers are easily
retrievable wherever they are located. (hold
that thought!)
• Not itself a service provider
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Discipline based e-print archives
• Early e-Print services subject based and hosted by
a single institution. Rely on distributed
researchers remotely depositing their papers
using the self archiving protocol
• ArXiv (Los Alamos now at Cornell) (1991) set up
by Paul Ginsparg and Richard Luce for high
energy physics community ( now physics (incl
Atmospheric and Oceanic Physics, Math,
Computing Science and nonlinear science).
• Despite success of Los Alamos - limited uptake by
other subject communities - Cogprints,
Chemistry Preprints Server etc
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Institutional e-Print archives
• 2000 - Complementary model - e-Print archives
based on research output from one institution.
Offering both self archiving and mediated
archiving to researchers
• Institutions can provide the supporting technical,
organisational and cultural infrastructure
• Direct interest in exposing their research output
• Promote the institutions research profile
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Libraries role
• Reduction in budgets affected ability
to deliver access to the global
knowledge base for their researchers
• Information managers who are the
logical administrators are taking a
lead role
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
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Why Libraries?
• Professional skills and expertise map to ePrint support and maintenance profile
– Positioned in the scholarly communication
process
• Recorders of institutional scientific output
• Publishers on behalf of institution
– Collection and dissemination of scholarly
resources
– Deliverers of seamless systems, e-resources
etc
– Resource discovery mechanisms in digital
environment (eg Z39.50)
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Why Libraries (cont….)
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Database expertise
Records management
Work with metadata and preservation
Apply standards uniformly
IPR issues
Central service provider
Interact at all levels of the institution
Network culture
End user of free research corpus
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Early Institutional Demonstrators
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Australian National University
Hong Kong University
Humboldt University in Berlin
Utrecht, Lund, MIT. CalTech, LoC
UK – Glasgow, Nottingham, Edinburgh,
Southampton
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UNIVERSITY OF SOUTHAMPTON AND
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Growing Focus on Open Access
• Services
– PubMed Central
www.pubmedcentral.nih.gov
– BioMed Central
www.biomedcentral.com
• Support
– Public Library of Science
www.publiclibraryofscience.org
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Support …….. funding
• Useful timeline of e-Print activity : Peter Suber FOS Newsletter Aug 2002
• Stevan Harnad, Univ Southampton ; leading advocate self archiving
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and now institutional model
• International Scholarly Communications Alliance
– Worldwide organisations collaborate with scholars and publishers to
establish equitable access to scholarly and research publications
• Mellon Foundation $1.5m for seven US projects
• Budapest Open Access Initiative - Soros Foundation Open
Information Society - $1m /3yrs
• UK JISC Focus on Access to Institutional Resources
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Glasgow – e-Theses
Consortium of University Libraries (CURL)
UKOLN (bid includes OCLC as partner)
Southampton
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Univ Southampton e-Print Archive
• Project funding 30 months Aug 2002-2005:
Targetting Academic Research for Dissemination
and diSclosure (TARDIS)
– Project Manager, Research Assistants x 2, Admin
Officer
• Implement a university e-Print archive – sustainable product
• Evaluate self and mediated archiving measured against
discipline culture
• Document the technical, organisational and cultural issues
• Feedback into the eprint software design
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Set up and installation
• eprints software @ eprints.org
– Developed and maintained at the
Electronics and Computer Science Dept,
Univ of Southampton
• Version 2
• Free
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Set up and installation – by
computing staff
Hardware and software requirements:
– Apache WWW server
– Unix / RedHat Linux
• Any computer capable of running
GNU/Linux or similar operating system
– Perl programming language and
modules
– MySQL – public domain software
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Configuration – by library staff
• Reflect the look and feel of host web
interface
• Deposit types & Document formats
• Subject listing – Library of Congress
or ASFIS Thesaurus ?
• Additional metadata
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Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Configuration – Look and feel
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Configuration - Document Formats
• Defaults : HTML, pdf, Postscript, ASCII
• May want to subtract
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HTML
• Unless carefully checked HTML output
• Add :
from Word unsatisfactory
– Special document preparation formats:
LaTex or common formats such as RTF
• Open source utility programs available to
convert from non supported to supported
formats
– Accept other formats?
• powerpoint
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Configuration – Document type
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Subjects / Thesaurus
• Default subject classification Library of
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Congress
Established general scheme often used in
University Libraries
Top Level Headings
– Subheadings
– Sufficient granularity?
• Subject based thesaurus (ASFIS) too
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detailed?
None at all – rely on title, keywords and
abstract retrieval?
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Configuration – new fields
• Faculties, Schools, Departments,
Research Groups
• Language
• ISBN/ISSN?
• All e-Print archives ‘customize’ the
basic default eprints software
• Necessary to climb into code – no
editor (part of TARDis project investigation)
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Policy considerations
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Administrative/operational load
Authentication of depositers
Quality control - level
Collection policy (refereed only ?)
Copyright / IPR institutional policy
– Retain the right to distribute it for free for scholarly scientific purposes
in particular, the right to self archive it publicly online on the www.
• Long term archiving / preservation
– E-Print Archiving = deposit
– Open Archival Information System (OAIS) Project – model based on
digital objects being converted to bitstreams which can then be
preserved indefinitely
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Advocacy Programme
‘if you build it they will come’
Costner: Field of dreams
• Early institutional e-Print archives have had problems with
acquisition of content possibly because of self archiving
protocol and discipline culture
• Huge impetus in Institutional implementation will greatly
assist gaining support from researchers
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Advocacy methods
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e-Print archive
Advocacy web site
Briefing paper to management
Literature e.g. SPARC leaflet
Institutional magazines
Presenting at departmental
meetings and university
committees
Special advocacy events
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Advocacy Programme
• Researchers concern :
– Copyright
– Quality control particularly peer review
– Undermining the tried and tested status
quo
• Submit to peer review and eprint deposit
– Visibility – compared with web pages
• OAI metadata not picked up by search engines, some browse
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pages
DP9 – new software tool translates OAI compliant metadata
into search engine friendly data – may solve the problem
– Work load – theirs
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
OAI Registration
• Data Providers need to register with OAI
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registry.
Not automated registration
Consequence periodic :
– compliance testing
– robustness testing
• Have to register with individual service
providers eg ARC
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Service Provider
• E-Print archive is its own service provider
• Cross archive searching
• Arc is a federated search service based on
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the Open Archives Initiative Protocol for
Metadata Harvesting (OAI-PMH).
It includes a harvester which can harvest
compliant repositories, a search engine
together with a simple and advanced
search interface
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
IAMSLIC - Marine Science Cross
Archive Search Service?
Precedent IAMSLIC Z39.50 Distributed Library
Outline proposal (simplistic!)
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IAMSLIC members implement institutional e-Print archives
OAI registration
IAMSLIC set up cross archive search service
Harvest members metadata provide search engine and interface
IAMSLIC Marine Science e-Print Archive
We can do it !
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Bridging the digital divide
• e-Print archives can provide free open
access to the worlds research literature
• Who Benefits?
– Researchers profile
• Evidence of increased citation rate (Lawrence Nature
Webdebates)
– Institutions profile
• visibility
– Library profile
• Embedded in research process
– Developing Nations
Southampton
Oceanography Centre
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL
Implementing e-Prints is a new
challenge for Libraries to embrace
Pauline Simpson
Southampton Oceanography Centre, UK
Southampton
Oceanography Centre
IAMSLIC 2002
UNIVERSITY OF SOUTHAMPTON AND
NATURAL ENVIRONMENT RESEARCH COUNCIL