1. the OAI and a disaggregated scholarly communication system Herbert Van de Sompel Los Alamos National Laboratory – Research Library Universiteit Gent – 15 Oktober 2002

2. the Open Archives Initiative http://www.openarchives.org

3. herbert van de sompel libraries are there to faciliate access to scholarly information core motivation we were trying hard, but...

4. herbert van de sompel library position AR PUBPUB D I S LIBLIB the input is far from optimal optimizing the output

5. herbert van de sompel serials crisis: increasing journal prices limit, rather than broaden, access to scholarly research IP drain: faculty signs away copyright publication delay: journal system can not cope with increasing volume of scholarly output criticism of peer-review: suppresses ideas, outcome criticized inertia: system is self-stabilizing the journal system

6. herbert van de sompel preprint systems xxx e-print archive (Physics - 1991 - Los Alamos - Ginsparg) RePEc (Economy - Surrey U - Krichel) NCSTRL (Computer Science - Cornell U - Lagoze) NDLTD (Theses - Virginia Tech - Fox) CogPrints (Cognitive Sciences - Southampton U - Harnad)

7. herbert van de sompel libraries are there to faciliate access to scholarly information core motivation we were trying hard, but... could there be other (better) ways?

8. herbert van de sompel alternative library position? AR capture & share the input… LIBLIB ? using the global network

9. herbert van de sompel The Open Archives Initiative has been set up to create a forum to discuss and solve matters of interoperability between electronic preprint solutions, as a way to promote their global acceptance. Paul Ginsparg, Rick Luce & Herbert Van de Sompel

10. herbert van de sompel Luce * Van de Sompel * Ginsparg

11. technology law economy sociology scholarly communication

12. technology law economy sociology establish a technological basis that allows addressing the other issues.

13. systems for scholarly communication

14. herbert van de sompel forget about who has been doing what and how in the existing system; let’s look at what has to be done in a system for scholarly communication free our minds

15. herbert van de sompel registrationestablishing intellectual priority certificationcertifying quality/validity of research awarenessensuring accessibility of research archivingpreserving research for future use {Roosendaal & Geurts} systems for scholarly communication

16. herbert van de sompel registrationestablishing intellectual priority certificationcertifying quality/validity of research awarenessensuring accessibility of research archivingpreserving research for future use rewardingevaluating & rewarding performance {Roosendaal & Geurts} systems for scholarly communication

17. herbert van de sompel AR registration awareness archiving certificationrewarding value chain systems for scholarly communication

18. herbert van de sompel registrationyes certificationno awarenessyes archivingno rewardingno preprint systems

19. herbert van de sompel registrationyes certificationno awarenessyes archivingno rewardingno preprint systems

20. the journal system integrates all functions

21. preprint systems suggest: the feasibility of a disaggregated system for scholarly communication the possibility of preprints being the starting point of a new value chain in which the raw material -- the non-certified preprint -- is in open access other functions being fullfilled in a discrete manner, by different networked parties

22. herbert van de sompel disaggregated system Lower prices by increasing cost efficiency: –decoupling value chain forces market efficiency of individual links –introduces competition throughout chain Reveal that academy contributes most of the value –academic labor & institutional investment drives content, certification, and archiving

23. herbert van de sompel content providers: discipline-specific eprint servers, institutional repositories, open access peer-to-peer research repositories, … service providers: value-added services that provide certification, awareness, and archiving, rewarding functions current agents of these functions (e.g., societies) can operate in disaggregated model new entrants in the system possible various business models possible disaggregated system: how?

24. Paul Ginsparg

25. herbert van de sompel OAI’s role Achieve interoperability by ensuring that information about the fulfillment of the functions: can travel across the system can be shared by nodes of the system metadata

26. herbert van de sompel so far: harvesting of descriptive metadata but coming, harvesting of: references usage logs certification metadata rights metadata other issues to be identified at OAI Workshop at CERN OAI’s role

27. herbert van de sompel AR registration awareness archiving certificationrewarding interoperable grid OAI’s role

28. institutional repositories

29. herbert van de sompel institutional repositories Institutionally defined: content generated by institutional community Scholarly content: preprints and working papers, published articles, enduring teaching materials, student theses, etc. Cumulative & perpetual: preserve ongoing access to material Interoperable & open access: free online global

30. herbert van de sompel Local & immediate –Increases institutional visibility & prestige by clarifying institutional sources of research –Demonstrates institution’s value to public & private funding sources –Archives institutional production –Complements existing scholarly publishing model rationale for institutional repositories

31. herbert van de sompel rationale for institutional repositories Global & long-term –Key component in evolving disaggregated scholarly publishing model. –Part of global network of interoperable, distributed content repositories. –Complements existing scholarly publishing model. [duplication deliberate]

32. herbert van de sompel Registration: –Institutional repositories supply basic step of initial registration. –Alternative registration mechanisms accommodate increased volume of research output. –Journal model integrates registration & certification. institutional repositories: how?

33. herbert van de sompel Certification: –Certification necessary to validate registration. –Repository “certification” essentially imprimatur of sponsoring institution/department (sometimes more, sometimes less). –Disaggregation allows new mechanisms for certification in addition to peer review. institutional repositories: how?

34. herbert van de sompel institutional repositories: how? Awareness: –Service-level awareness tools enabled by OAI- compliance & interoperability. –Search engines index the descriptive metadata harvested from federated repositories. –Search engines can use other metadata in services: references, certification metadata, usage information, …

35. herbert van de sompel Archiving: –No final answer on digital archiving –However, disaggregation helps put institutions (libraries?) — rather than journal publishers — in charge of digital archiving. institutional repositories: how?

36. herbert van de sompel Rewarding: –Digital communication facilitates the generation of other metrics: –Citation databases not limited to selected journals –Usage information –Certification by which parties? institutional repositories: how?

37. herbert van de sompel Technical issues: global level (OAI, …) institutional level Unknown cost parameters Current journal system role in academic advancement Systemic inertia Faculty participation obstacles to implementation

38. herbert van de sompel potential faculty objection Faculty objections to participation include: –Impediment to subsequent formal publication –Intellectual property & data abuse issues –Perceived quality: lack of peer review & commingling of QC’d & non-QC’d material. –Undermines existing journal system, in which faculty deeply invested –Increased work load –Rewarding?

39. herbert van de sompel overcoming faculty objection 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 eprint no more plagiarism online than offline machine readable rights

40. herbert van de sompel overcoming faculty objection Perceived quality: label & differentiate types of content reveal certification methods Undermines existing journals: repositories coexist with existing publishing system Increased work load: put library in charge of metadata tagging, formatting and reformatting, etc.

41. herbert van de sompel overcoming faculty objection Rewarding: Institutions must reward registration in institutional repository Funding agencies must reward institutions and scholars for registration in institutional repositories

42. herbert van de sompel Initiate institution- & consortia-based pilot projects Support academy-friendly author/publisher agreements Support learned societies in establishing new roles in disaggregated model Define alternative rewarding strategies: institutional, funding agencies, … ACTION!

43. herbert van de sompel http://www.openarchives.org openarchives@openarchives.org questions http://www.arl.org/SPARC/ sparc@arl.org