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Scholarly Communication in a Digital World:
The Role of an Institutional Repository
Beth Forrest WarnerAssistant Vice Provost for Information Services
(Strategic Initiatives)
Richard C. Fyffe
Assistant Dean of Libraries for Scholarly Communication
University of Kansas
Educause Southwest Regional Conference 27 February 2004
Copyright Statement
Copyright, Richard C. Fyffe and Beth Forrest Warner, 2004. This work is the intellectual property of the authors. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the authors. To disseminate otherwise or to republish requires written permission from the authors.
Scholarly Communication: What Is It?
“The technological and institutional means by which theories, interpretations, and findings are submitted to the scrutiny of disciplinary experts and critiqued, endorsed, disseminated, synthesized, and archived on behalf of a broad community of teachers and learners (novice and advanced, lay and professional).”
Scholarly Communication in a Half-Digital World: the Promise
Most scholarship is created and shared digitally
Many researchers already use the web for sharing part or all of their work
Growing appreciation of scholarship as a public good
Scholarly Communication in a Half-Digital World: Unrealized
Potential
Little integration of proliferating array of websites, databases, and journals
The record of most Universities’ research is invisible to the public, including funders
Little standardization of searching, presentation, and content formats
Enduring access (of files and of links) is an unresolved issue
User Interface
BibliographicDatabase
Z39.50DatabaseZ39.50
DatabaseScholar’sPersonalWebsite
Z39.50DatabaseZ39.50
DatabaseElectronic
JournalCollection
Z39.50DatabaseZ39.50
DatabaseDepartmentWebsite
User InterfaceUser Interface
User Interface
Scholar’s Research
DataDepartment
Server
Scholar’s Research
Data
Today’s Research Landscape…
Potential Solutions?
providing access to existing networked research material through systems that federate distributed information resources
regaining control of scholarly information providing long-term management and
increased accessibility and visibility for university research
Need mechanisms
for…
Potential Solution: Institutional Repositories
Digital collections and services that capture and preserve the intellectual output of university communities.
Elements of an Institutional Repository Program: Focus
Academic digital content created at / by the institution
University-wide view of research, creative, and teaching activity
Elements of an Institutional Repository Program:Tools
A centralized set of tools to help faculty and staff disseminate their work by: posting documents creating standardized metadata administering collections
Elements of an Institutional Repository Program:
Management
Long-term preservation of content and metadata through centralized planning and funding managed storage and migration persistent object names
Elements of an Institutional Repository Program:
Discovery
A metadata system to enable this work to be discovered
Integrated access and retrieval integration into a local search system via federated
search (e.g., ENCompass, MetaLib, etc.) or metadata harvesting
Coordination / integration with other institutional and disciplinary repositories via federated search or metadata harvesting repository registration
Potential Issues
Content and metadata standards Resource naming conventions
persistent identifiers Resource organization Migration / preservation issues Long-term resource & access control
rights management resource modification, deletion, embargoing
Funding, space, services allocations
Selected Repository Platforms
Eprints: Caltech Collection of Open Digital Archives: http://library.caltech.edu/digital/
BEPress: eScholarship (California Digital Library): http://repositories.cdlib.org/escholarship/
DSpace: DSpace (MIT): http://dspace.mit.edu/
DSpace: the Concepts
Open-source platform, freely available Initially developed by MIT and Hewlett Packard Development now coordinated by the DSpace
Federation (http://www.dspace.org) Based on concept of research communities /
units with community / unit administration of membership and content
KU ScholarWorks
“A repository of scholarship created by faculty and staff at the University of Kansas.”
Platform: DSpace Pilot phase started in September 2003 https://kuscholarworks.ku.edu
KU ScholarWorks Development: Technical Considerations
Basic background information at http://www.dspace.org/resource/start.html
Software Open source - available at Sourceforge UNIX-type OS, such as Linux, HP/UX or Solaris Written in Java
Javabeans Activation Framework, Java Servlet, JSP, JavaMail API Built on top of free, open source tools
Apache Web server Tomcat Servlet engine Ant PostgreSQL relational database system Handle Server
KU ScholarWorks Development: Technical Considerations
Hardware (at KU) SunFire 280R Server
two 900MHz UltraSPARC-III Cu processors 8MB E-cache 2GB memory two 36GB 10,000rpm HH internal FCAL disk drives DVD network connections
RAID storage (436-GB, or 12 x 26.4 GB10K RPM disks) Tape backup (general machine room system)
KU ScholarWorks Development: Technical Considerations
Local staffing considerations, skills dependent on level of local modification
hardware, O/S support DBA (PostgreSQL) Java, web support local I/A/A integration (LDAP, account management) metadata support
DSpace support community general & technical lists User Group
KU ScholarWorks Development: Working Groups
Collaboration of Library and IT staff: Leadership Group Early Adopters Working Group Policy Working Group Standards Working Group Access & Rights Management Working Group Promotion Working Group Training Working Group System Implementation Team
KU ScholarWorks Development: Working Groups
Early Adopters WG: Membership Library collections officer Library subject specialists (bibliographers) Library technology staff (systems) Information technology staff (user support)
KU ScholarWorks Development: Working Groups
Early Adopters WG: Charge Develop criteria and desiderata for participation as
an “early adopter” Draft mutual expectations for initial participation Identify a small number of initial contributors to the
Repository Work with the Early Adopters to facilitate their use
of the pilot system and provide feedback to other working groups.
KU ScholarWorks Development: Working Groups
Policy WG: Membership Chief Information Officer Information technology policy analyst University website manager IT/Library licensing specialist Library collections officer
KU ScholarWorks Development: Working Groups
Policy WG: Develop framework and coordinate feedback with Early Adopters WG:
Types of content accepted Acceptable content formats (building on work of the Standards
group) Acceptable metadata formats (building on work of the
Standards group) Protocols for contributing and approving contributions Content lifecycle (choices on time the content is kept) Intellectual Property Access protocols
KU ScholarWorks Development: Working Groups
Standards WG: Membership Director of Digital Library Initiatives University website administrator Library head of cataloging Library metadata coordinator Information technology web developer
KU ScholarWorks Development: Working Groups
Standards WG: Charge Develop standards for content format and metadata Identify submission workflow issues and procedures
as they relate to standards and searching With the Early Adopters Working Group make
recommendations regarding the submission interface for DSpace at KU
Recommend priorities for implementation
KU ScholarWorks Development: Phase Ø
System Implementation (Summer / Fall 2003) hardware procurement, installation initial software installation
O/S, supporting components, DSpace interface / Help modifications system testing
administrative functionsmetadata creation, item submission
local training development / testing
KU ScholarWorks Development: Phase 1
Recruitment of Early Adopters for Feedback on Interface and Policy Issues (Fall 2003) 6 teaching faculty in diverse disciplines
invited to test and critique conversations with selected faculty, deans,
and Research Center directors
KU ScholarWorks Development: Phase 2
Evaluation (January-February 2004) focus group with early adopters on Policy
issues interviews with early adopters on basic
functionality focus group with grant PI’s on dissemination
needs
KU ScholarWorks Development: Phase 3
Issues to Resolve: Policy community-based structure vs. “open deposit” governance and decision-making “controversial” content modification / withdrawal of contributions intellectual property:
impact on future publication impact of prior publication on use in the repository
funding and cost-allocation
KU ScholarWorks Development: Phase 3
Issues to Resolve: Technical integration with local I/A/A procedures / systems versioning / deletion of contributions modification / updating of metadata representing hierarchy among communities delegating administration to communities integration of resources
loading metadata into local systems such as ENCompass availability for OAI harvesting by other systems.
KU ScholarWorks: Lessons Learned
Successful Institutional Repositories will be a partnership of: Information Technology staff Library staff Faculty / Researchers
KU ScholarWorks: Lessons Learned
The key challenges are cultural, not technical scholarly practices differ across disciplines
and subdisciplines academic departments are not natural
epistemic communities epistemic communities are dynamic while
archival systems assume stability
For Further Information
Clifford A. Lynch, “Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age,” ARL Bimonthly Report 226 (February 2003): http://www.arl.org/newsltr/226/ir.html
A Guide to Institutional Repository Software v 2.0 (Budapest Open Access Initiative): http://www.soros.org/openaccess/software/
Richard Fyffe and Beth Forrest Warner, “Scholarly Communication in a Digital World: The Role of an Institutional Repository”: http://hdl.handle.net/1808/126