Open AccessOpen Access and Repositoriesand Repositories

Pauline SimpsonPauline SimpsonNational Oceanography Centre, National Oceanography Centre,

Southampton, UKSouthampton, UK

ASFA Board MeetingASFA Board Meeting08 Oct 200508 Oct 2005

National Oceanography Centre, National Oceanography Centre, SouthamptonSouthampton

NOC is one of the world’s leading centres for research and education in marine and earth sciences, for the development of marine technology and for the provision of large scale infrastructure and support for the marine research community

University of SouthamptonResearch-led multidisciplinary university:20,000 students5000 staff (3000 researchers)

OutlineOutline

Open Access Open Access Scholarly CommunicationScholarly Communication OA SupportOA Support Solutions – Publishing and RepositoriesSolutions – Publishing and Repositories Repository DevelopmentRepository Development

Some specificsSome specifics Building on Institutional RepositoriesBuilding on Institutional Repositories

Contributing to the Knowledge CycleContributing to the Knowledge Cycle

Open AccessOpen Access

What is it?What is it? Call for Call for free, unrestricted access free, unrestricted access on the public internet to the literature that on the public internet to the literature that

scholars give to the world scholars give to the world without expectation of paymentwithout expectation of payment. Can be freely used . Can be freely used for research, teaching and other purposes for research, teaching and other purposes

Should be immediate, rather than delayed, and OA should apply to theShould be immediate, rather than delayed, and OA should apply to the full-text, not just to abstracts or summaries. full-text, not just to abstracts or summaries.

Why?Why?

Widen dissemination, accelerate research, enrich education, share Widen dissemination, accelerate research, enrich education, share learning among rich & poor nations, enhance return on taxpayer learning among rich & poor nations, enhance return on taxpayer investment in research.investment in research.

How?How? By using existing funds to pay for By using existing funds to pay for disseminationdissemination, not, not access access..

By removing By removing price barriersprice barriers (subscriptions, licensing fees, pay-per- (subscriptions, licensing fees, pay-per-view view

fees) and pfees) and permission barriersermission barriers (most copyright and licensing (most copyright and licensing restrictions). restrictions).

See JISC briefing paper on Open Access April 2005 See JISC briefing paper on Open Access April 2005 http://http://www.jisc.ac.uk/index.cfm?namewww.jisc.ac.uk/index.cfm?name==pub_openaccesspub_openaccess

First Call for Open Access to First Call for Open Access to ResearchResearch

27 Jun 1994 Stevan Harnad’s ‘Subversive 27 Jun 1994 Stevan Harnad’s ‘Subversive Proposal’ leading to the open access vision for Proposal’ leading to the open access vision for scholarly material scholarly material

( “Faustian Bargain” with publishers – a price tag barrier to ( “Faustian Bargain” with publishers – a price tag barrier to research)research)

Harnad, S.Harnad, S. (1995) A Subversive Proposal. (1995) A Subversive Proposal. In: Ann Okerson & James O'Donnell (Eds.) Scholarly Journals at In: Ann Okerson & James O'Donnell (Eds.) Scholarly Journals at the Crossroads: a Subversive Proposal for Electronic Publishing.the Crossroads: a Subversive Proposal for Electronic Publishing. Washington, DC., Association of Research Libraries, June 1995. Washington, DC., Association of Research Libraries, June 1995. http://http://www.ecs.soton.ac.uk/~harnad/subvert.htmlwww.ecs.soton.ac.uk/~harnad/subvert.html

http://http://www.arl.org/scomm/subversive/toc.htmlwww.arl.org/scomm/subversive/toc.html

– In an ideal world of scholarly communication – all research should be freely available -

But journals are still becoming more and more But journals are still becoming more and more expensiveexpensive (serials crisis) (serials crisis)

journals are the primary research publication journals are the primary research publication channelchannel

journal publishing is dominated by commercial journal publishing is dominated by commercial venturesventures

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) Researchers on Editorial Board (free)Researchers on Editorial Board (free) Researchers review papers (free)Researchers review papers (free)

BUTBUT

Libraries pay huge subscriptions to publishers to access the Libraries pay huge subscriptions to publishers to access the paper (and electronic) and universities pay more than once: paper (and electronic) and universities pay more than once: subscription, photocopying license and for study packssubscription, photocopying license and for study packs

Or possibly they cannot afford the subscriptionOr possibly they cannot afford the subscription

PROJECTED PERIODICAL PRICE INCREASES TO 2020 (Blixrud 2002)

1986-2000Journal price inflation+291%Retail price index + 70%

1986-2000Journal price inflation+291%Retail price index + 70%

1774%

•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; though good examples of deals for developing countries (INASP)

•Many commercial publishers charge extra for online access – so causing more pressure on budgets

Open Access – Open Access – Appeals to all the major stakeholdersAppeals to all the major stakeholders

To the To the fundersfunders of research – both as a public service and as an of research – both as a public service and as an increased return on their investment in researchincreased return on their investment in research

To the To the authorsauthors – it gives wider dissemination and impact – it gives wider dissemination and impact

To To readersreaders – it gives them access to all primary literature, making – it gives them access to all primary literature, making the the

most important ‘research tool’ more powerfulmost important ‘research tool’ more powerful

To To editors and reviewerseditors and reviewers – they feel their work is more valued – they feel their work is more valued

To the To the librarieslibraries –it allows them to meet the information needs of –it allows them to meet the information needs of theirtheir

usersusers

To the To the institutionsinstitutions – it increases their presence and prestige – it increases their presence and prestige

To small and To small and society publisherssociety publishers – it gives them a survival strategy – it gives them a survival strategy and and

fits with their central remitfits with their central remit

Open Access – policy developmentOpen Access – policy development

Political Interest:Political Interest:

UK Science and Technology Committee Inquiry: UK Science and Technology Committee Inquiry: Scientific Publications: Free for all? 2004Scientific Publications: Free for all? 2004

Recommended that UK funding bodies should:Recommended that UK funding bodies should:

Require that authors deposit a copy of their articles in theirRequire that authors deposit a copy of their articles in their institution’s repository within one month of institution’s repository within one month of

publication.publication. Review copyright and, provided it does not have a negative impactReview copyright and, provided it does not have a negative impact make it a condition of grant that authors retain make it a condition of grant that authors retain

copyrightcopyright in their papers.in their papers. Provide as part of research grants, monies to allowProvide as part of research grants, monies to allow payment of charges for publication in Open Access payment of charges for publication in Open Access journals.journals. http://http://www.publications.parliament.uk/pa/cm/cmsctech.htmwww.publications.parliament.uk/pa/cm/cmsctech.htm

Open Access – policy developmentOpen Access – policy development

Political InterestPolitical Interest::

US Congress working with National InstitutesUS Congress working with National Institutes of Health (NIH) to develop new access policy of Health (NIH) to develop new access policy (Feb 2005)(Feb 2005)

Copies of all papers reporting research funded by NIH Copies of all papers reporting research funded by NIH requestedrequested to beto be

deposited in PubMed Central within six months ofdeposited in PubMed Central within six months of

publicationpublication Approximately 60,000 papers each year will be made freely Approximately 60,000 papers each year will be made freely

available available

http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-04-064.htmlhttp://grants1.nih.gov/grants/guide/notice-files/NOT-OD-04-064.html

Open Access – policy developmentOpen Access – policy development

The Wellcome Trust announced (May 2005) that from 1st October 2005, all papers from new research projects must be deposited in PubMed Central or a UK PubMed Central – once it has been formed - within 6 months of publication.

Looking for partners to set up UK PubMed Central

£400 million producing 3500 papers per year

(PubMed Central Feb 2000 - )

Position Statement reflects the view of 8 research councils Position Statement reflects the view of 8 research councils £3.5 bn (28 Jun 2005)£3.5 bn (28 Jun 2005)

MandateMandate

Research Grants awarded from ?1 October 2005? will requireResearch Grants awarded from ?1 October 2005? will require grant holders to copy any resultant published journal articlesgrant holders to copy any resultant published journal articles or conference proceedings in an appropriate e-print repositoryor conference proceedings in an appropriate e-print repository either institutional or thematiceither institutional or thematic

Subject to copyright and licensing arrangementsSubject to copyright and licensing arrangements Wherever possible at or around the time of publicationWherever possible at or around the time of publication No obligation to set up a repository where noneNo obligation to set up a repository where none exists at presentexists at present

Will allow applicants to include predicted cost of publication in author-pays Will allow applicants to include predicted cost of publication in author-pays journals in fEC project costingsjournals in fEC project costings

Open Access - policy development for dataOpen Access - policy development for data

Organisation for Economic Co-operation and Organisation for Economic Co-operation and Development (OECD)Development (OECD)

‘‘Promoting Access to Public Research Data for Promoting Access to Public Research Data for Scientific, Scientific,

Economic, and Social Development ‘Economic, and Social Development ‘

‘…‘…an optimum international exchange of data, information an optimum international exchange of data, information and knowledge contributes decisively to the advancement and knowledge contributes decisively to the advancement of scientific research and innovation’ of scientific research and innovation’ and and ‘…open access ‘…open access will maximise the value derived from public investment in will maximise the value derived from public investment in data collection efforts.’data collection efforts.’

http://dataaccess.ucsd.edu/Final_Report_2003.pdfhttp://dataaccess.ucsd.edu/Final_Report_2003.pdf

*** *** 30+ nations have signed30+ nations have signedWorking Party on Information Economy Dec 2004

Open Access – gaining funders supportOpen Access – gaining funders support

Funders indicated commitment to open access through seed Funders indicated commitment to open access through seed funding and endorsement:funding and endorsement:

Howard Hughes Medical Institute, Andrew Mellon, Open Society Howard Hughes Medical Institute, Andrew Mellon, Open Society Institute and Institute and

JISC UKJISC UK

Berlin Declaration in Support of Open Access Berlin Declaration in Support of Open Access 2003 2003 (50 + signatories)(50 + signatories)

GermanyGermany: : Fraunhofer Society, Wissenschaftsrat, HRK, MaxFraunhofer Society, Wissenschaftsrat, HRK, MaxPlanck Society, Leibniz Association, Helmholtz Association,Planck Society, Leibniz Association, Helmholtz Association,

German Research Foundation, Deutscher BibliotheksverbandGerman Research Foundation, Deutscher BibliotheksverbandFranceFrance: : CNRS, INSERMCNRS, INSERMAustriaAustria: : FWF Der WissenschaftsfondsFWF Der WissenschaftsfondsBelgiumBelgium: : Fonds voor Wetenschappelijk Onderzoek –Fonds voor Wetenschappelijk Onderzoek –

Vlaanderen)Vlaanderen)Greece:Greece: National Hellenic Research FoundationNational Hellenic Research Foundation

Declarations supporting Open AccessDeclarations supporting Open Access[[Peter Suber - Timeline of the Open Access MovementPeter Suber - Timeline of the Open Access Movement - - http://www.earlham.edu/~peters/fos/timeline.htm]http://www.earlham.edu/~peters/fos/timeline.htm]

The IFLA Statement on Open Access to Scholarly The IFLA Statement on Open Access to Scholarly Literature and Research DocumentationLiterature and Research Documentation http://www.ifla.org/V/cdoc/open-access04.htmlhttp://www.ifla.org/V/cdoc/open-access04.html

India, Australia, China, Africa, USA …India, Australia, China, Africa, USA … Buenos Aires, British ColumbiaBuenos Aires, British Columbia

Bethesda Statement on Open Access PublishingBethesda Statement on Open Access Publishing (Jun (Jun 2003)2003)

Scotland (2005) 16 Universities and Research OrgsScotland (2005) 16 Universities and Research Orgs Russell Group (UK Universities) 2005Russell Group (UK Universities) 2005 Budapest Budapest Open Access Initiative Feb 2002 (Soros Open Open Access Initiative Feb 2002 (Soros Open

Society Institute)Society Institute)

Budapest Declaration on Open Access 2002 Budapest Declaration on Open Access 2002 Two Complementary SolutionsTwo Complementary Solutions

Open Access RepositoriesOpen Access Repositories articles, conference papers, articles, conference papers, reports, theses, learning objects, multimedia etc. deposited reports, theses, learning objects, multimedia etc. deposited in in open electronic archives/repositories which conform toopen electronic archives/repositories which conform to

Open Archives Initiative (OAI)Open Archives Initiative (OAI) standards (standards (OAI-PMH OAI-PMH allowsallows

a single gateway to search and access many a single gateway to search and access many repositoriesrepositories))

Open-Access JournalsOpen-Access Journals: Journals will not charge subscriptions : Journals will not charge subscriptions or fees for online access. Instead, they should look to other or fees for online access. Instead, they should look to other sources to fund peer-review and publication (e.g., publication sources to fund peer-review and publication (e.g., publication charges)charges)

Open Access JournalsOpen Access Journals

Ideally:Ideally: Peer reviewed articlesPeer reviewed articles Accessed online without chargeAccessed online without charge No author/page chargesNo author/page charges

Publisher’s modelPublisher’s model No Author payment = subscription (‘toll’) access and perhaps No Author payment = subscription (‘toll’) access and perhaps

later OAlater OA Author pays = open accessAuthor pays = open access

BioMed Central - $500 per articleBioMed Central - $500 per article Public Library of Science - $1500Public Library of Science - $1500 National Academy Of Sciences - $1000National Academy Of Sciences - $1000 American Institute of Physics - $2000American Institute of Physics - $2000 European Geosciences Union - $20 per pageEuropean Geosciences Union - $20 per page

Open Access Publishing Open Access Publishing –– making the transitionmaking the transition

A number of ‘traditional’ publishers are transforming their closed access journals into ‘open access’

journals:

Proceedings of the National Academy of Science Oxford University Press Company of Biologists American Physiological Society Entomological Society of America Journal of Experimental Botany American Society of Limnology and Oceanography European Geophysical Union

European Geosciences Union – OA convertEuropean Geosciences Union – OA convert

Geophysical Research AbstractsGeophysical Research Abstracts ( (open accessopen access)) Advances in GeosciencesAdvances in Geosciences ( (open-accessopen-access)) AnnalesAnnales GeophysicaeGeophysicae ( (open-access after 1 yearopen-access after 1 year)) Atmospheric Chemistry & PhysicsAtmospheric Chemistry & Physics ( (open-accessopen-access) )  BiogeosciencesBiogeosciences ( (open-accessopen-access)) Hydrology and Earth System SciencesHydrology and Earth System Sciences ( (open-accessopen-access)) Natural Hazards and Earth System SciencesNatural Hazards and Earth System Sciences ( (open-accessopen-access)) Nonlinear Processes in GeophysicsNonlinear Processes in Geophysics ( (open-accessopen-access))NEWNEW - - Ocean ScienceOcean Science ( (open-accessopen-access) ) 

((EGUEGU open-accessopen-access = free-of-charge, online access of any = free-of-charge, online access of any article immediately after its publication on www )article immediately after its publication on www )

University InitiativesUniversity Initiatives Univ. Arizona: Univ. Arizona: J. Insect ScienceJ. Insect Science Univ. Bielefeld:Univ. Bielefeld: Documenta Documenta

MathematicaMathematica Univ. California:Univ. California: eScholarship eScholarship Columbia Univ:Columbia Univ: Earthscape Earthscape Cornell Univ/Duke Press:Cornell Univ/Duke Press: Project Project

EuclidEuclid Univ. Warwick:Univ. Warwick: Geometry & Geometry &

Topology PublicationsTopology Publications

Independent startupsIndependent startups Evolutionary Ecol. Research. Evolutionary Ecol. Research. Internet Journal of ChemistryInternet Journal of Chemistry

HybridsHybrids BioOneBioOne

www.BioOne.org

www.insectscience.org

Journal ofInsect Science

SPARCScholary Publishing and Academic Resources Coalition

Lund Directory of Open Access Journals – over 1763 peer review open access journals

The alternative : RepositoriesThe alternative : Repositories((Open archives, e-Print archivesOpen archives, e-Print archives))

““Digital collections that preserve and provide access to the Digital collections that preserve and provide access to the intellectual output of an institution.” [intellectual output of an institution.” [placed there by their placed there by their authors, either before or after publication]authors, either before or after publication]

What are the essential elements? What are the essential elements? Institutionally , subject or nationally defined: Institutionally , subject or nationally defined: Content Content generated by the communitygenerated by the community Scholarly content:Scholarly content:, published articles, books, book sections, , published articles, books, book sections,

preprintspreprints and working papers, conference papers, enduring teaching and working papers, conference papers, enduring teaching materials, student theses, data-sets, etc.materials, student theses, data-sets, etc. Cumulative & perpetual: Cumulative & perpetual: preserve ongoing access to materialpreserve ongoing access to material Interoperable & open access: Interoperable & open access: free, online, globalfree, online, global

Repository DevelopmentRepository Development

AArXiV rXiV ((from 1991 at from 1991 at Los Alamos now at Cornell) for high Los Alamos now at Cornell) for high energy physics communityenergy physics community (incl Atmospheric and Oceanic (incl Atmospheric and Oceanic Physics, Math, Computing Science and Physics, Math, Computing Science and NNonlinear onlinear SScience).cience).

Despite success of Despite success of ArXiVArXiV and others - ReP and others - RePEEc (Economics), c (Economics), Cogprints (Cognitive Psychology), Cogprints (Cognitive Psychology), Mathematics, Mathematics, etc – varying etc – varying success by other subject communities (Chemistry Preprints success by other subject communities (Chemistry Preprints Server Server now now finished)finished)

2000 onwards complementary implementation of Institutional 2000 onwards complementary implementation of Institutional repositories fuelled by project funding eg Mellon Foundation, repositories fuelled by project funding eg Mellon Foundation, Howard Hughes, Open Society Institute, JISC UK FAIRHoward Hughes, Open Society Institute, JISC UK FAIR Programme and powered by the Information CommunityProgramme and powered by the Information Community

2002 = 112 (Southampton Subject Categorization Survey)2005 = 466 (from Institutional Archives Registry)

http://archives.eprints.org/

Truly global movement

Increasing numbers – Repository Increasing numbers – Repository choiceschoices

Subject - Subject - arXiv, Cogprints, RePEC,arXiv, Cogprints, RePEC, Institutional – Institutional – Southampton, Glasgow, Nottingham (SHERPA), MBA UK, WHOISouthampton, Glasgow, Nottingham (SHERPA), MBA UK, WHOI National - National - DARE (all universities in the Netherlands), Scotland, British Library DARE (all universities in the Netherlands), Scotland, British Library

(proposal)(proposal) National / Subject National / Subject -- ODINPubAfricaODINPubAfrica InternationalInternational - - Internet Archive ‘Universal’, OAIsterInternet Archive ‘Universal’, OAIster Regional - Regional - White Rose UKWhite Rose UK Consortia - Consortia - SHERPA-LEAP (London E-prints Access Project)SHERPA-LEAP (London E-prints Access Project) Funding Agency – Funding Agency – NIH (PubMed), Wellcome Trust (UK PubMed), NERCNIH (PubMed), Wellcome Trust (UK PubMed), NERC Project - Project - Public Knowledge Project EPrint ArchivePublic Knowledge Project EPrint Archive Conference - Conference - 11th Joint Symposium on Neural Computation, May 15 11th Joint Symposium on Neural Computation, May 15

2004 2004 Personal – Personal – peer to peerpeer to peer Media TypeMedia Type - - VCILT VCILT Learning Objects Repository, NTDL (Theses)Learning Objects Repository, NTDL (Theses) PublisherPublisher – – journal archivesjournal archives Data Repositories/ArchivesData Repositories/Archives - - NODC, BODC, DOD, JODC, BADC etcNODC, BODC, DOD, JODC, BADC etc

***** Problem is that the above are not mutually exclusive***** Problem is that the above are not mutually exclusive

OAI Gateway Specification - Static OAI Gateway Specification - Static RepositoryRepository

Institutions that do not have an OAI repository can utilise the newly developed OAI gateway specification.

This development is intended to lower the barriers to making metadataavailable through the OAI. It works on the basic principle that metadata can be encoded in an XML file (conforming to a specific schema) and mounted on a standard web site, e.g. an author’s or institution’s home page. This file is known as a static repository.

The URL of the static repository can be registered with an entity known as a ‘static repository gateway’. The gateway reads the metadata file and incorporates it into a fully compliant OAI-PMH service that can subsequently respond to OAI requests.

The idea is that metadata can be made available from standard web sites and Incorporated into an OAI environment.

IAMSLIC Aquatic Science Repository and Harvester - early concept

Marine Science Institutional e-Print repositories

IAMSLIC Marine Science e-Print Service

Harvester (General)

Regional e-Print Repository

Odin PubAfrica

ArXiv (Atmos & Oceanic Physics)

User Search

OAI-PMH

Depositor

Open Archive InitiativeOpen Archive Initiative

Supported by Digital Library Federation & NSF (Sante Fe, Supported by Digital Library Federation & NSF (Sante Fe, 1999)1999)

Roots in an effort to enhance access to e-Print archives as a Roots in an effort to enhance access to e-Print archives as a means of increasing availability of scholarly communicationmeans of increasing availability of scholarly communication

OAI Metadata Harvesting ProtocolOAI Metadata Harvesting Protocol which creates potential which creates potential for interoperability between for interoperability between RepositoriesRepositories by enabling by enabling metadata from a number of archives to be collected together metadata from a number of archives to be collected together in one searchable database.in one searchable database.

Open Archive Initiative - MHPOpen Archive Initiative - MHP

Enables a cross searchable global virtual research Enables a cross searchable global virtual research

archive in which papers are easily retrievable archive in which papers are easily retrievable wherever they are located. wherever they are located.

Based on Unqualified Dublin Core Metadata set – criticism Based on Unqualified Dublin Core Metadata set – criticism that rich metadata is lost. METS + DC leading contender. that rich metadata is lost. METS + DC leading contender. Other options - sOther options - some archives may choose to expose archives may choose to expose their metadata as MARC21 in an XML wrapper. their metadata as MARC21 in an XML wrapper. MPEG21 DIDL highly structured metadata schema also MPEG21 DIDL highly structured metadata schema also being considered.being considered.

OAI WG on enhancements to include Rights MetadataOAI WG on enhancements to include Rights Metadata

From Data Provider (IR) to Service From Data Provider (IR) to Service Provider (Harvester/Aggregator)Provider (Harvester/Aggregator)

Author

Open Repositories

Service Providers (Value-added )

Reader

Institutional Servers

Disciplinary Servers

Journals(e.g., PLoS model) In

tero

per

abil

ity

Sta

nd

ard

sWorkflow

Applications

Integrated scholarly

communities

Search tools

OAI-PMH

Repositories are spreading becauseRepositories are spreading because … …

Supplementary to traditional publicationSupplementary to traditional publication Do not affect current research publication Do not affect current research publication

processesprocesses Give easy access Give easy access Give rapid accessGive rapid access Give long-term access Give long-term access Increase readership and use of materialIncrease readership and use of material They offer advantages to institutionsThey offer advantages to institutions They offer advantages to research fundersThey offer advantages to research funders They offer new ways for information to be linked They offer new ways for information to be linked

and usedand used

Why it should be Institutional RepositoriesWhy it should be Institutional Repositories

Institutions are logical implementers of Institutions are logical implementers of repositories repositories

because they can take responsibility for:because they can take responsibility for:  ––              Centralising a distributed activityCentralising a distributed activity––              Framework and InfrastructureFramework and Infrastructure––              Permanence that can sustain changesPermanence that can sustain changes––              Stewardship of Digital assetsStewardship of Digital assets––              PreservationPreservation policy for long term access policy for long term access––              Provide central digital showcase for the Provide central digital showcase for the

research, research, teaching and scholarship of the institutionteaching and scholarship of the institutionSubject or project repositories often

linked to an individual or a group – can be transitory - collection at risk

Changing paradigms from 2000 - Changing paradigms from 2000 - nownow

Open Access little knownOpen Access little known Open access publishingOpen access publishing Open access repositoriesOpen access repositories High level supportHigh level support

UK Science and Technology UK Science and Technology Committee ‘Scientific Publications Committee ‘Scientific Publications - free for all’- free for all’

Copyright transferCopyright transfer License to PublishLicense to Publish AmendmentsAmendments

PublishersPublishers Changing policiesChanging policies New publishing modelsNew publishing models

Software, few optionsSoftware, few options Multiple, open sourceMultiple, open source

Funding Agency - no supportFunding Agency - no support Declarations on Open Access Declarations on Open Access

signatoriessignatories Mandate depositMandate deposit

Wellcome TrustWellcome Trust RCUKRCUK NIHNIH

Authors non acceptanceAuthors non acceptance Surveys - Surveys - JISC/OSI Journal JISC/OSI Journal

Authors Survey (3000 Authors Survey (3000 researchers)researchers)

83% would deposit in IR if required 83% would deposit in IR if required by employerby employer

3% would not be prepared to do so3% would not be prepared to do so 66% thought archiving in IR 66% thought archiving in IR

importantimportant 60% thought publishers should allow 60% thought publishers should allow

itit

Institutional Repositories – Institutional Repositories – author surveysauthor surveys

JISC/OSI Journal Authors Survey (3000 researchers)JISC/OSI Journal Authors Survey (3000 researchers) 83% would deposit in IR if required by employer83% would deposit in IR if required by employer 3% would not be prepared to do so3% would not be prepared to do so 66% thought archiving in IR important66% thought archiving in IR important 60% thought publishers should allow it60% thought publishers should allow it 75% authors not familiar with IRs – advocacy needed!75% authors not familiar with IRs – advocacy needed!

SOUTHAMPTON SURVEYSOUTHAMPTON SURVEY 93% prefer mediated deposit!!93% prefer mediated deposit!!

Researchers have many concernsResearchers have many concerns : : workload, status quo; content workload, status quo; content quality control; authentication, versioning control and of course quality control; authentication, versioning control and of course CopyrightCopyright

Barriers to adoptionBarriers to adoption

Copyright restrictionsCopyright restrictions But - approx. 72% of publishers allow their authors to But - approx. 72% of publishers allow their authors to

archivearchive Cultural barriers to adoptionCultural barriers to adoption

Disciplines; Awareness? Working habits?Disciplines; Awareness? Working habits? Authors are willing to use repositoriesAuthors are willing to use repositories

83% would deposit willingly if required to do so by their 83% would deposit willingly if required to do so by their funders (JISC/OSI Author Survey)funders (JISC/OSI Author Survey)

Funders Deposition policies are key (NIH, Funders Deposition policies are key (NIH, WellCome Trust, RCUK)WellCome Trust, RCUK)

Institutional Repository – Copyright Institutional Repository – Copyright (incl IPR)(incl IPR)

Rapidly changing publishers attitudes - moving goalposts!Rapidly changing publishers attitudes - moving goalposts!

Traditionally authors sign over copyright, whether they Traditionally authors sign over copyright, whether they own it or not!own it or not!

As a guide As a guide traditionaltraditional copyright agreements have not copyright agreements have not allowed authors to: allowed authors to:

Reuse an article as a chapter in a book Reuse an article as a chapter in a book Revise or adapt an article Revise or adapt an article Distribute an article to colleagues Distribute an article to colleagues Reproduce copies of an article for teaching purposesReproduce copies of an article for teaching purposes Self archive/make available an article in an repositorySelf archive/make available an article in an repository

But now 76% of journals allow deposit in institutional repositoriesBut now 76% of journals allow deposit in institutional repositories

Author’s can annotate Copyright FormsAuthor’s can annotate Copyright Forms

•Authors can add text to Copyright Forms :

•"I hereby transfer to [publisher or journal] all rights to sell or lease the text (on paper and online) of my paper [paper title]. I retain only the right to distribute it free for scholarly/scientific purposes, in particular the right to self-archive it publicly online on the Web."

•Often the publisher accepts the text or returns a ‘license to publish’ form

SHERPA/RoMeo Database of SHERPA/RoMeo Database of Publishers Copyright Policies Publishers Copyright Policies www.sherpa.ac.uk/romeo.phpwww.sherpa.ac.uk/romeo.php

Journals Copyright Policies http://romeo.eprints.org/stats.php

Pre-printsPre-prints: pre refereed version: pre refereed version.. Many publishers do permit authors to Many publishers do permit authors to make the pre-prints version of the article available in repositories. make the pre-prints version of the article available in repositories.

Post PrintPost Print : : post refereed, pre journal versionpost refereed, pre journal version – some 65% of – some 65% of publishers will publishers will allow the text of article as published to be included in institutional repositories, allow the text of article as published to be included in institutional repositories, but not in the form of the formatted PDF file that appears in the journal. but not in the form of the formatted PDF file that appears in the journal.

Publisher PDFsPublisher PDFs : : A very few publishers prefer the final journal PDF version A very few publishers prefer the final journal PDF version to be used, as this is a clear indication that an article in a repository is the bona to be used, as this is a clear indication that an article in a repository is the bona fide version. (Eg. Royal Society)fide version. (Eg. Royal Society)

Personal or departmental web sitesPersonal or departmental web sites: Many publishers will permit authors : Many publishers will permit authors to make their articles available on a personal web site or on a departmental to make their articles available on a personal web site or on a departmental site. By permitting this they are making a clear distinction between this type of site. By permitting this they are making a clear distinction between this type of web pages and institutional repositories. The fact that the full text of the article web pages and institutional repositories. The fact that the full text of the article can easily be found using search engines regardless of whether it is available can easily be found using search engines regardless of whether it is available in a repository on a personal web site within the individual organisation domain in a repository on a personal web site within the individual organisation domain is immaterial. is immaterial.

Summary of Benefits of Institutional RepositoriesSummary of Benefits of Institutional Repositories

• Organization / University Organization / University profile to Funding profile to Funding AgenciesAgencies• Research Group and Research Group and

DisciplineDiscipline visibilityvisibility• Researcher profileResearcher profile

Full text contentFull text content

freely accessible,freely accessible, more rapidly, easilymore rapidly, easily• Link to learning andLink to learning and

teachingteaching• Links to projects andLinks to projects and web pagesweb pages

Secure storage ofSecure storage of publications for long term publications for long term

access to all researchaccess to all research including theses and including theses and

dissertations, technical dissertations, technical reportsreports

Stewardship of digital assetsStewardship of digital assets Demonstrates Demonstrates

Interdisciplinary research Interdisciplinary research Increased citationsIncreased citations

Lawrence, BrodyLawrence, Brody Research reporting (SMA, Research reporting (SMA,

OPINet, RAE)OPINet, RAE) Populate CVs, Research Populate CVs, Research

Proposals …Proposals …

Research Visibility - Raising the Research Visibility - Raising the profile….profile….

Articles freely available online are more highly cited. For Articles freely available online are more highly cited. For greater impact and faster scientific progress, authors and greater impact and faster scientific progress, authors and publishers should aim to make research easy to accesspublishers should aim to make research easy to access

NatureNature, Volume 411, Number 6837, p. 521, 2001, Volume 411, Number 6837, p. 521, 2001 Steve Lawrence Steve Lawrence Online or Invisible? Online or Invisible? http://www.neci.nec.com/~lawrence/papers/online-nature01/http://www.neci.nec.com/~lawrence/papers/online-nature01/

The power of Open Access - journalsThe power of Open Access - journals

Limnology and Oceanography, published by the American Society of Limnology and Oceanography

Uses hybrid model to offer authors the chance to purchase open access

Access papers published in 2003 have been downloaded 2.8 times more often than non-open access papers

For papers published in 2002, the difference increases

to 3.4 times greater downloads for open access papers

http://aslo.org/lo/information/freeaccess.html

arXiv daily usagearXiv daily usage

Tuesday

Saturday

arXiv – 06 Oct 05arXiv – 06 Oct 05

Benefit of easy discovery:Global Web Search Engines - Google and Google Scholar and SCOPUS …

Global repository searchGlobal repository search – – OAIster now partnered with YahooOAIster now partnered with Yahoo

5,835,096 records from 533 institutions(updated 14 September 2005)

Link to personal web pages – auto updateLink to personal web pages – auto update

Secure storage and visibility – Secure storage and visibility – branding for a research groupbranding for a research group

RSS feed to web pageRSS feed to web page

Screen in foyer – is my paper there?Screen in foyer – is my paper there?

Linking to bookseller – ‘search inside’ bonusLinking to bookseller – ‘search inside’ bonus

Interdisciplinary research – enter once onlyInterdisciplinary research – enter once only

Statistics – most downloadedStatistics – most downloaded

Institutional repositories - benefitsInstitutional repositories - benefits

For the Individual Provide a central archive of their work

Increase the dissemination and impact of their research Acts as a full CV and research reporting tool For the Institution Increases visibility and prestige Acts as an advertisement to funding sources, potential new faculty and students, etc. For Society Provide access to the world’s research Ensures long-term preservation of institutes’ academic output

Repositories - a building blockRepositories - a building block

The Knowledge CycleThe Knowledge Cycle Encompassing experimentation, analysis, publication, research, learning

• Joined up research – a hub linking text and data

• An audit trail from whatever point of access

Learning & Teaching workflows

Research & e-Science workflows

Aggregator services

Repositories : institutional, e-prints, subject, data, learning objects

Institutional presentation services: portals, Learning Management Systems, u/g, p/g courses, modules

Harvestingmetadata

Data creation / capture / gathering: laboratory experiments, Grids, fieldwork, surveys, media

Resource discovery, linking, embedding

Deposit / self-archiving

Peer-reviewed publications: journals, conference proceedings

Publication

Validation

Data analysis, transformation, mining, modelling

Resource discovery, linking, embedding

Deposit / self-archiving

Learning object creation, re-use

Searching , harvesting, embedding

Quality assurance bodies

Validation

Presentation services: subject, media-specific, data, commercial portals

Resource discovery, linking, embedding

From: Lyon : CNI - JISC - SURF Conference, May 2005

Persistent identifiers

Dataset Citations

Automated Linking (png)

A Plus for ResearchersA Plus for Researchers

One outcome of CLADDIER ProjectOne outcome of CLADDIER Project

‘‘pull’ = Harvesting pull’ = Harvesting ‘‘push’ (png) = CLADDIER outcomepush’ (png) = CLADDIER outcome

Enable researcher to deposit in Enable researcher to deposit in institutional repository and choose to institutional repository and choose to upload (push) the metadata to another upload (push) the metadata to another repository of choicerepository of choice

redundancy of records does it matter?redundancy of records does it matter?

Building on Institutional RepositoriesBuilding on Institutional Repositories

CLADDIERCLADDIER (Citation, Location and Deposition in Discipline (Citation, Location and Deposition in Discipline and Institutional Repositories) Linking e-Research. – and Institutional Repositories) Linking e-Research. – partnering CCLRC, Reading, NERCpartnering CCLRC, Reading, NERC

GRADEGRADE (Scoping a Geospatial Repository for Academic (Scoping a Geospatial Repository for Academic Deposit and Extraction) – partnering EDINA , AHDS, et alDeposit and Extraction) – partnering EDINA , AHDS, et al

PRESERVPRESERV (Preservation Services for EPrints) - partnering (Preservation Services for EPrints) - partnering with National Archives File Format Registry (PRONOM) and with National Archives File Format Registry (PRONOM) and the British Library, Oxford University (cooperation with the British Library, Oxford University (cooperation with SHERPA DP)SHERPA DP)

IAMSLIC IAMSLIC

Thank YouThank You

Pauline SimpsonPauline SimpsonNational Oceanography Centre, National Oceanography Centre,

Southampton, UKSouthampton, UK

ps@noc.soton.ac.ukps@noc.soton.ac.uk