UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre IAMSLIC 2002 E-PRINTS AND THE OPEN ARCHIVE INITIATIVE - OPPORTUNITIES FOR LIBRARIES (to build a bridge over the digital divide) Pauline Simpson Southampton Oceanography Centre, UK

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Synopsis e-Print drivers e-Print drivers Crisis in scholarly communication Crisis in scholarly communication Solutions Solutions Alternative scholarly publications Alternative scholarly publications e-Print archives e-Print archives Open Archive Initiative Open Archive Initiative Subject v institutional e-Print archives Subject v institutional e-Print archives Libraries role Libraries role Requirements for setting up an institutional archive Requirements for setting up an institutional archive Policy implications Policy implications Proposal for a cross search Marine science e-Print archive Proposal for a cross search Marine science e-Print archive

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre e-Print Drivers –invisible university culture Exchange draft publications – high energy physics – 50 authors Exchange draft publications – high energy physics – 50 authors –Evolving digital environment – electronic transmission Los Alamos 1991 framework Los Alamos 1991 framework –Crisis in scholarly publication –Call for open access

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Crisis in Scholarly Communication journals are the primary research publication channel journals are the primary research publication channel journal publishing is dominated by commercial ventures journal publishing is dominated by commercial ventures –A vicious circle : Researchers write papers for journals (free or page charges!) Researchers write papers for journals (free or page charges!) Researchers transfer copyright to publishers (free) 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 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 Or possibly cannot afford the subscription

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre The Global Journals Problem The Global Journals Problem Journal price inflation+291% Retail price index + 70% Journal price inflation+291% Retail price index + 70%

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre PROJECTED PERIODICAL PRICES TO 2020 (Blixrud 2002)

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Solutions Alter the research landscape Alter the research landscape – Alternative publishing models – e-Print archives

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Alternate Publishing Models - SPARC SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION An initiative of the Association of Research Libraries Alternate Publishing Models - SPARC SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION An initiative of the Association of Research Libraries Worldwide alliance of universities, research libraries, and organizations Worldwide alliance of universities, research libraries, and organizations Constructive response to market dysfunctions in the scholarly communication system 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 Supports open access to scholarly information through development of economic alternatives by taking advantage of the networked digital environment

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre New Players New Players University Initiatives Univ. Arizona: J. Insect Science Univ. Arizona: J. Insect Science Univ. Bielefeld: Documenta Mathematica Univ. Bielefeld: Documenta Mathematica Univ. California: eScholarship Univ. California: eScholarship Columbia Univ: Earthscape Columbia Univ: Earthscape Cornell Univ/Duke Press: Project Euclid Cornell Univ/Duke Press: Project Euclid Univ. Warwick: Geometry & Topology Publications Univ. Warwick: Geometry & Topology Publications Independent startups Evolutionary Ecol. Rsrch. Evolutionary Ecol. Rsrch. Internet Journal of Chemistry Internet Journal of ChemistryHybrids BioOne BioOne Journal of Insect Science

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre E-Print archives : some definitions Reprints are published papers, usually in paper copy. Reprints are published papers, usually in paper copy. e-Prints are electronic copies of any research output (journal article, book chapter, conference paper etc.) 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

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre e-Print archives Electronic depository of e-Prints, usually internet based for free access and dissemination 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 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 OAI compliant e-Print archives share the same metadata tags making their contents interoperable

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Open Archive Initiative Supported by Digital Library Federation & NSF 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 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 e- Print archives by enabling metadata from a number of archives to be collected together in a searchable database. OAI Metadata Harvesting Protocol (V.2) which creates potential for interoperability between e- Print archives by enabling metadata from a number of archives to be collected together in a searchable database.

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Metadata Harvested Dublin Core Metadata Elements Dublin Core Metadata Elements Normally includes information such as Author, title, subject, abstract, date Normally includes information such as Author, title, subject, abstract, date

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre OAI e-Print Providers Data Providers are archives that expose metadata to harvesters Data Providers are archives that expose metadata to harvesters Service Providers harvest metadata and provide value added services with it 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 Conceptually different but in reality archives provide both service directly to users and metadata for automated harvesters

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Open Archives Open Archives Author Open Repositories Value-added Services Reader Institutional Servers Disciplinary Servers Journals (e.g., PLoS model) Interoperability Standards Workflow Applications Integrated scholarly communities Search tools

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography CentreOAI Creates conditions for making distributed archives interoperable. 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!) 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 Not itself a service provider

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre 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 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). 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 Despite success of Los Alamos - limited uptake by other subject communities - Cogprints, Chemistry Preprints Server etc

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Institutional e-Print archives Complementary model - e-Print archives based on research output from one institution. Offering both self archiving and mediated archiving to researchers 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 Institutions can provide the supporting technical, organisational and cultural infrastructure Direct interest in exposing their research output Direct interest in exposing their research output Promote the institutions research profile Promote the institutions research profile

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Libraries role Reduction in budgets affected ability to deliver access to the global knowledge base for their researchers 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 Information managers who are the logical administrators are taking a lead role

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Why Libraries? Professional skills and expertise map to e- Print support and maintenance profile Professional skills and expertise map to e- Print support and maintenance profile –Positioned in the scholarly communication process Recorders of institutional scientific output Recorders of institutional scientific output Publishers on behalf of institution 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)

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Why Libraries ( cont….) –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

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Early Institutional Demonstrators Australian National University Australian National University Hong Kong University Hong Kong University Humboldt University in Berlin Humboldt University in Berlin Utrecht, Lund, MIT. CalTech, LoC Utrecht, Lund, MIT. CalTech, LoC UK – Glasgow, Nottingham, Edinburgh, Southampton UK – Glasgow, Nottingham, Edinburgh, Southampton

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Growing Focus on Open Access Services Services –PubMed Central –BioMed Central Support Support –Public Library of Science

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Support …….. funding Useful timeline of e-Print activity : Peter Suber FOS Newsletter Aug 2002 Useful timeline of e-Print activity : Peter Suber FOS Newsletter Aug 2002 Stevan Harnad, Univ Southampton ; leading advocate self archiving Stevan Harnad, Univ Southampton ; leading advocate self archiving and now institutional model and now institutional model International Scholarly Communications Alliance 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 Mellon Foundation $1.5m for seven US projects Budapest Open Access Initiative - Soros Foundation Open Budapest Open Access Initiative - Soros Foundation Open Information Society - $1m /3yrs Information Society - $1m /3yrs UK JISC Focus on Access to Institutional Resources UK JISC Focus on Access to Institutional Resources –Glasgow – e-Theses –Consortium of University Libraries (CURL) –UKOLN (bid includes OCLC as partner) –Southampton

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Univ Southampton e-Print Archive Project funding 30 months Aug : Project funding 30 months Aug : Targetting Academic Research for Dissemination and diSclosure (TARDIS) Targetting Academic Research for Dissemination and diSclosure (TARDIS) –Project Manager, Research Assistants x 2, Admin Officer Implement a university e-Print archive – sustainable product Implement a university e-Print archive – sustainable product Evaluate self and mediated archiving measured against discipline culture Evaluate self and mediated archiving measured against discipline culture Document the technical, organisational and cultural issues Document the technical, organisational and cultural issues Feedback into the eprint software design Feedback into the eprint software design

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Set up and installation eprints eprints.org eprints eprints.org –Developed and maintained at the Electronics and Computer Science Dept, Univ of Southampton Version 2 Version 2 Free Free

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre 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 Any computer capable of running GNU/Linux or similar operating system –Perl programming language and modules –MySQL – public domain software

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Configuration – by library staff Reflect the look and feel of host web interface Reflect the look and feel of host web interface Deposit types & Document formats Deposit types & Document formats Subject listing – Library of Congress or ASFIS Thesaurus ? Subject listing – Library of Congress or ASFIS Thesaurus ? Additional metadata Additional metadata

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Configuration – Look and feel

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Configuration - Document Formats Defaults : HTML, pdf, Postscript, ASCII Defaults : HTML, pdf, Postscript, ASCII May want to subtract May want to subtract –HTML Unless carefully checked HTML output from Word unsatisfactory Unless carefully checked HTML output from Word unsatisfactory Add : Add : –Special document preparation formats: LaTex or common formats such as RTF Open source utility programs available to convert from non supported to supported formats Open source utility programs available to convert from non supported to supported formats –Accept other formats? powerpoint powerpoint

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Configuration – Document type

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Subjects / Thesaurus Default subject classification Library of Congress Default subject classification Library of Congress Established general scheme often used in University Libraries Established general scheme often used in University Libraries Top Level Headings Top Level Headings –Subheadings –Sufficient granularity? Subject based thesaurus (ASFIS) too detailed? Subject based thesaurus (ASFIS) too detailed? None at all – rely on title, keywords and abstract retrieval? None at all – rely on title, keywords and abstract retrieval?

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Configuration – new fields Faculties, Schools, Departments, Research Groups Faculties, Schools, Departments, Research Groups Language Language ISBN/ISSN? ISBN/ISSN? All e-Print archives customize the basic default eprints software All e-Print archives customize the basic default eprints software Necessary to climb into code – no editor (part of TARDis project investigation) Necessary to climb into code – no editor (part of TARDis project investigation)

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Policy considerations Administrative/operational load Administrative/operational load Authentication of depositers Authentication of depositers Quality control - level Quality control - level Collection policy (refereed only ?) Collection policy (refereed only ?) Copyright / IPR institutional policy 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 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

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Advocacy Programme if you build it they will come if you build it they will come Costner: Field of dreams 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 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 Huge impetus in Institutional implementation will greatly assist gaining support from researchers

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Advocacy methods e-Print archive e-Print archive Advocacy web site Advocacy web site Briefing paper to management Briefing paper to management Literature e.g. SPARC leaflet Literature e.g. SPARC leaflet Institutional magazines Institutional magazines Presenting at departmental meetings and university committees Presenting at departmental meetings and university committees Special advocacy events Special advocacy events

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Advocacy Programme Researchers concern : Researchers concern : –Copyright –Quality control particularly peer review –Undermining the tried and tested status quo Submit to peer review and eprint deposit Submit to peer review and eprint deposit –Visibility – compared with web pages OAI metadata not picked up by search engines, some browse pages OAI metadata not picked up by search engines, some browse pages DP9 – new software tool translates OAI compliant metadata into search engine friendly data – may solve the problem DP9 – new software tool translates OAI compliant metadata into search engine friendly data – may solve the problem –Work load – theirs

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre OAI Registration Data Providers need to register with OAI registry. Data Providers need to register with OAI registry. Not automated registration Not automated registration Consequence periodic : Consequence periodic : – compliance testing – robustness testing Have to register with individual service providers eg ARC Have to register with individual service providers eg ARC

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Service Provider E-Print archive is its own service provider E-Print archive is its own service provider Cross archive searching Cross archive searching Arc is a federated search service based on the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH). Arc is a federated search service based on 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 It includes a harvester which can harvest compliant repositories, a search engine together with a simple and advanced search interface

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre IAMSLIC - Marine Science Cross Archive Search Service? Precedent IAMSLIC Z39.50 Distributed Library Outline proposal (simplistic!) 1. IAMSLIC members implement institutional e-Print archives 2. OAI registration 3. IAMSLIC set up cross archive search service 4. Harvest members metadata provide search engine and interface 5. IAMSLIC Marine Science e-Print Archive We can do it !

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre Bridging the digital divide e-Print archives can provide free open access to the worlds research literature e-Print archives can provide free open access to the worlds research literature Who Benefits? Who Benefits? –Researchers profile Evidence of increased citation rate (Lawrence Nature Webdebates) Evidence of increased citation rate (Lawrence Nature Webdebates) –Institutions profile visibility visibility –Library profile Embedded in research process Embedded in research process –Developing Nations

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre IAMSLIC 2002 Implementing e-Prints is a new challenge for Libraries to embrace Pauline Simpson Southampton Oceanography Centre, UK