1 1 SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION SPARC EUROPE Open Archives, Open Access and the Scholarly Communication Process David Prosser SPARC Europe Director

2 2 SPARC EUROPE AND LIBER Scholarly Publishing & Academic Resources Coalition Europe Formed in 2002 following the success of SPARC (launched in 1998 by the US Association of Research Libraries) Encourages partnership between libraries, academics, societies and responsible publishers Ligue des Bibliothèques Européennes de Recherche (LIBER) Principal association of the major research libraries of Europe Plays an active role in shaping a long-term vision for the development of a European research library network

3 3 The Global Journals Problem Dissatisfaction with the current scholarly communication model Even the wealthiest institution cannot purchase access to all the information that all of its researchers require Site-licenses and consortia deals have helped, but mainly in the richest countries Many commercial publishers charge extra for online access – so causing more pressure on budgets

4 4 Budapest Open Access Initiative Two complementary strategies: Self-Archiving: Scholars should be able to deposit their refereed journal articles in open electronic archives which conform to Open Archives Initiative standards Open-Access Journals: Journals will not charge subscriptions or fees for online access. Instead, they should look to other sources to fund peer-review and publication (e.g., publication charges)

5 5 Disaggregated system Scholarly publishing comprises four functions: Disaggregated models: Allow functions to be fulfilled independently – Lower prices by increasing cost efficiency – introduces competition throughout value chain – forces market efficiency of individual links ARCHIVING Preserving research for future use AWARENESS Assuring accessibility of research CERTIFICATION Certifying the quality/validity of the research REGISTRATION Establishing intellectual priority

6 6 How institutional repositories? ARCHIVING Preserving research for future use AWARENESS Assuring accessibility of research CERTIFICATION Certifying the quality/validity of the research REGISTRATION Establishing intellectual priority Institutional repositories supply basic step of initial registration Accommodate increased volume of research output

7 7 How institutional repositories? ARCHIVING Preserving research for future use AWARENESS Assuring accessibility of research CERTIFICATION Certifying the quality/validity of the research REGISTRATION Establishing intellectual priority Certification necessary to validate registration Independent certification carried out by open access journals in same way as at present – peer review is medium and business model independent!

8 8 How institutional repositories? ARCHIVING Preserving research for future use AWARENESS Assuring accessibility of research CERTIFICATION Certifying the quality/validity of the research REGISTRATION Establishing intellectual priority Awareness services enabled by OAI-compliance & interoperability Search engines index the metadata harvested from federated repositories (e.g., descriptive metadata, references, certification metadata, usage information)

9 9 How institutional repositories? ARCHIVING Preserving research for future use AWARENESS Assuring accessibility of research CERTIFICATION Certifying the quality/validity of the research REGISTRATION Establishing intellectual priority No final answer on archiving However, disaggregation helps put librarians rather than journal publishersin charge of digital archiving

How the pieces work together Open repositories lessen or eliminate the content monopoly of journals. Societies, publishers, institutions, new entrants are service providers. Author ContentServices Reader Institutional Repositories Disciplinary Repositories Peer-to-peer Repositories Interoperability Standards Registration e.g.: by institutions Certification e.g.: peer review Awareness e.g.: search tools, linking Archiving e.g.: by library

How the pieces work together Standards ensure that information about the fulfillment of functions can travel across system, be shared by nodes. Author ContentServices Reader Institutional Repositories Disciplinary Repositories Peer-to-peer Repositories Interoperability Standards Registration Certification Awareness Archiving

Why institutional repositories? Local & immediate Expands access to & impact of research Increases institutional visibility & prestige by clarifying institutional sources of research Demonstrates institutions value to funding sources Global & long-term Key component in evolving disaggregated scholarly publishing model Part of global network of interoperable, distributed content repositories Institutional repositories complement the existing scholarly publishing model.

Theory Into Practice - Institutional Repositories Eprints.org – Southampton produced software D-Space – MIT Repository, expanding to Cambridge, UK CDSWare – CERN ARNO – Tilburg, Amsterdam, Twente SHERPA – UK DARE – The Netherlands SPARC Resources – (

Theory Into Practice - Institutional Repositories Australian National UniversityUniversite de Montreal Aalborg UniversityLMU Munchen Humboldt-UniversitatUtrecht University Lund UniversitetCERN National University of IrelandUniversity of Bath University of GlasgowUniversity of Nottingham California Digital LibraryCaltech MITAcademy of Sciences, Belarus

Theory Into Practice - Service Providers Arc Search engine Callima Search engine citebaseSearchSearch engine (with citation ranking) CYCLADES Search engine DP9 Presents OAI archives hidden in the deep Internet iCite Citation indexing system covering physics journals my.OAI Search engine NCSTRL Unified access to archives in computer sciences OAIster Search engine Perseus Search engine in humanities Public Knowledge Discipline-specific OAI metadata harvesting Harvester service ScirusElsevier Science search engine TORIIUnified access to various open archives (physics and computer Science)

Practical issues Impediment to formal publication? Trend for publishers to accept that online posting is not prior publication Develop discipline-specific policies Intellectual property issues Repository registration protects priority Retain rights to e-print No more plagiarism online than offline

Practical issues Perceived quality Label & differentiate types of content Reveal certification methods Undermines existing journals? Repositories coexist with existing publishing system Faculty work load Put library in charge of metadata tagging, formatting and reformatting, etc.

Practical issues Rewarding faculty participation Should institutions reward registration in institutional repository? Should funding agencies reward institutions and scholars for registration in institutional repositories?

Next Steps – The Human Issue? Engage support of scholarly societies. Exchange information on strategies with other OAI providers. Identify alternative rewarding strategies. Encourage the development of open access journals

Current Research Information Systems Many funding bodies maintain databases of research grants Can these databases be integrated with institutional repositories? Provide complete information record – from initial grant proposal through to final published papers CRIS 2004 – Antwerp, May /index.html 004/index.html

Open Access Journals SPARC open access journal partners: Algebraic and Geometric Topology BioMed Central (published papers) Documenta Mathematica Calif. Digital Library eScholarship Geometry & Topology Journal of Insect Science Journal of Machine Learning Research New Journal of Physics

Open Access Journals Two new journals from the Public Library of Science PLoS Biology and PLoS Medicine Indian Academy of Sciences has made their 11 journals available free online Lund Directory of Open Access Journals ( – almost 500 peer- reviewed open access journalshttp:// Sabo – Public Access to Science Act

Create Change! An old tradition and a new technology have converged to make possible an unprecedented public good. Budapest Open Access Initiative, Feb. 14, rd Workshop on the Open Archives Initiative (OAI) February 2004 CERN, SWITZERLAND Contact SPARC Europe: