UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre IAMSLIC 2002 E-PRINTS AND THE OPEN ARCHIVE INITIATIVE

IAMSLIC 2002IAMSLIC 2002 UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL

Southampton Oceanography Centre

E-PRINTS E-PRINTS AND THE OPEN ARCHIVE INITIATIVEAND THE OPEN ARCHIVE INITIATIVE

- - OPPORTUNITIES FOR LIBRARIESOPPORTUNITIES FOR LIBRARIES(to build a bridge over the digital divide)(to build a bridge over the digital divide)

Pauline SimpsonPauline Simpson

Southampton Oceanography Centre, UKSouthampton Oceanography Centre, UK

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL


SynopsisSynopsis• e-Print driverse-Print drivers• Crisis in scholarly communicationCrisis in scholarly communication• SolutionsSolutions• Alternative scholarly publicationsAlternative scholarly publications• e-Print archivese-Print archives• Open Archive InitiativeOpen Archive Initiative• Subject v institutional e-Print archivesSubject v institutional e-Print archives• Libraries roleLibraries role• Requirements for setting up an institutional archiveRequirements for setting up an institutional archive• Policy implicationsPolicy implications• Proposal for a cross search Marine science e-Print Proposal for a cross search Marine science e-Print

archivearchive



e-Print Driverse-Print Drivers

– ‘‘invisible university’ cultureinvisible university’ culture•Exchange draft publications – high Exchange draft publications – high

energy physics – 50 authorsenergy physics – 50 authors

– Evolving digital environment – Evolving digital environment – electronic transmissionelectronic transmission•Los Alamos 1991 frameworkLos Alamos 1991 framework

– Crisis in scholarly publicationCrisis in scholarly publication– Call for open accessCall for open access



Crisis in Scholarly Crisis in Scholarly CommunicationCommunication• journals are the primary research journals are the primary research

publication channelpublication channel• journal publishing is dominated by journal publishing is dominated by

commercial venturescommercial ventures– A vicious circle :A vicious circle :

• Researchers write papers for journals (free or Researchers write papers for journals (free or page charges!)page charges!)

• Researchers transfer copyright to publishers Researchers transfer copyright to publishers (free)(free)

• Libraries pay huge subscriptions to publishers Libraries pay huge subscriptions to publishers to access the paper and universities pay more to access the paper and universities pay more than once: subscription, photocopying license than once: subscription, photocopying license and for study packsand for study packs

• Or possibly cannot afford the subscriptionOr possibly cannot afford the subscription



The Global Journals The Global Journals ProblemProblem

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

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

-40%

-20%

0%

20%

40%

60%

80%

100%

120%

140%

91-92 92-93 93-94 94-95 95-96 96-97 97-98 98-99 99-00

Journal price index

Current serials per fte

Journal expenditure per fte

Book price index

Books acquired per fte

Book expenditure per fte

Retail Price index



PROJECTED

PERIODICAL

PRICES TO

2020

(Blixrud 2002)



SolutionsSolutions

•Alter the research landscapeAlter the research landscape

– Alternative publishing modelsAlternative publishing models

– e-Print archivese-Print archives



Alternate Publishing Models - Alternate Publishing Models - SPARCSPARC SCHOLARLY PUBLISHING & ACADEMIC RESOURCES SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITIONCOALITION

An initiative of the Association of Research LibrariesAn initiative of the Association of Research Libraries

• Worldwide allianceWorldwide alliance of universities, research of universities, research libraries, and organizationslibraries, and organizations

• CConstructive responseonstructive response to market to market dysfunctions in the scholarly communication dysfunctions in the scholarly communication systemsystem

• Supports Supports open accessopen access to scholarly to scholarly information through development of information through development of economic alternativeseconomic alternatives by taking advantage by taking advantage of the networked digital environmentof the networked digital environment



New PlayersNew PlayersUniversity InitiativesUniversity Initiatives• Univ. Arizona: Univ. Arizona: J. Insect J. Insect

ScienceScience• Univ. Bielefeld:Univ. Bielefeld:

Documenta MathematicaDocumenta Mathematica • Univ. California:Univ. California:

eScholarshipeScholarship• Columbia Univ:Columbia Univ:

EarthscapeEarthscape • Cornell Univ/Duke Press:Cornell Univ/Duke Press:

Project EuclidProject Euclid• Univ. Warwick:Univ. Warwick: Geometry Geometry

& Topology Publications& Topology Publications

Independent Independent startupsstartups

• Evolutionary Ecol. Rsrch. Evolutionary Ecol. Rsrch. • Internet Journal of Internet Journal of

ChemistryChemistry

HybridsHybrids• BioOneBioOnewww.BioOne.org

www.insectscience.org

Journal ofInsect Science



E-Print archives : some E-Print archives : some definitionsdefinitions

• ReprintsReprints are published papers, are published papers, usually in paper copy.usually in paper copy.

• e-Printse-Prints are electronic copies of any are electronic copies of any research output (journal article, research output (journal article, book chapter, conference paper book chapter, conference paper etc.)etc.)– preprintspreprints – – unpublished papers before unpublished papers before

they are refereedthey are refereed– postprintspostprints – papers after they have – papers after they have

been refereedbeen refereed



e-Print archivese-Print archives

• Electronic depository of e-Prints, usually Electronic depository of e-Prints, usually internet based for internet based for free accessfree access and and disseminationdissemination

• Establishment of Institutional and discipline Establishment of Institutional and discipline based archives that allow public access to based archives that allow public access to content and employ the Open Archive content and employ the Open Archive Initiative Metadata Harvesting ProtocolInitiative Metadata Harvesting Protocol

• OAI compliant e-Print archives share the OAI compliant e-Print archives share the same metadata tags making their contents same metadata tags making their contents interoperableinteroperable



Open Archive InitiativeOpen Archive Initiative• Supported by Digital Library Federation & Supported by Digital Library Federation &

NSFNSF

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

• OAI Metadata Harvesting Protocol (V.2) OAI Metadata Harvesting Protocol (V.2) which creates potential for interoperability which creates potential for interoperability between e-Print archives by enabling between e-Print archives by enabling metadata from a number of archives to be metadata from a number of archives to be collected together in a searchable database.collected together in a searchable database.



Metadata HarvestedMetadata Harvested

• Dublin Core Metadata ElementsDublin Core Metadata Elements

• Normally includes information Normally includes information such as Author, title, subject, such as Author, title, subject, abstract, dateabstract, date



OAI e-Print ProvidersOAI e-Print Providers

• Data ProvidersData Providers are archives that are archives that expose metadata to harvestersexpose metadata to harvesters

• Service ProvidersService Providers harvest metadata harvest metadata and provide value added services and provide value added services with itwith it

• Conceptually different but in reality Conceptually different but in reality archives provide both service directly archives provide both service directly to users and metadata for automated to users and metadata for automated harvestersharvesters



Open ArchivesOpen Archives

Author

Open Repositories

Value-added Services

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



OAIOAI

• Creates conditions for making Creates conditions for making distributed archives interoperable. distributed archives interoperable.

• Potential for a cross searchable global Potential for a cross searchable global virtual research archive in which papers virtual research archive in which papers are easily retrievable wherever they are are easily retrievable wherever they are located. (hold that thought!)located. (hold that thought!)

• Not itself a service providerNot itself a service provider



Discipline based e-print Discipline based e-print archivesarchives• Early e-Print services subject based and Early e-Print services subject based and

hosted by a single institution. Rely on hosted by a single institution. Rely on distributed researchers remotely depositing distributed researchers remotely depositing their papers using the self archiving protocoltheir papers using the self archiving protocol

• ArXiv (Los Alamos now at Cornell) (1991) set ArXiv (Los Alamos now at Cornell) (1991) set up by Paul Ginsparg and Richard Luce for up by Paul Ginsparg and Richard Luce for high energy physics community ( now high energy physics community ( now physics (incl Atmospheric and Oceanic physics (incl Atmospheric and Oceanic Physics, Math, Computing Science and Physics, Math, Computing Science and nonlinear science).nonlinear science).

• Despite success of Los Alamos - limited Despite success of Los Alamos - limited uptake by other subject communities - uptake by other subject communities - Cogprints, Chemistry Preprints Server etcCogprints, Chemistry Preprints Server etc



Institutional e-Print Institutional e-Print archivesarchives• 2000 - Complementary model - e-Print 2000 - Complementary model - e-Print

archives based on research output from one archives based on research output from one institution. Offering both self archiving and institution. Offering both self archiving and mediated archiving to researchersmediated archiving to researchers

• Institutions can provide the supporting Institutions can provide the supporting technical, organisational and cultural technical, organisational and cultural infrastructureinfrastructure

• Direct interest in exposing their research Direct interest in exposing their research outputoutput

• Promote the institutions research profilePromote the institutions research profile



Libraries roleLibraries role

• Reduction in budgets affected Reduction in budgets affected ability to deliver access to the ability to deliver access to the global knowledge base for their global knowledge base for their researchersresearchers

• Information managers who are Information managers who are the logical administrators are the logical administrators are taking a lead roletaking a lead role



Why Libraries?Why Libraries?• Professional skills and expertise map Professional skills and expertise map

to e-Print support and maintenance to e-Print support and maintenance profileprofile– Positioned in the scholarly communication Positioned in the scholarly communication

process process • Recorders of institutional scientific outputRecorders of institutional scientific output• Publishers on behalf of institutionPublishers on behalf of institution

– Collection and dissemination of scholarly Collection and dissemination of scholarly resourcesresources

– Deliverers of seamless systems, e-Deliverers of seamless systems, e-resources etcresources etc

– Resource discovery mechanisms in digital Resource discovery mechanisms in digital environment (eg Z39.50) environment (eg Z39.50)



Why Libraries (Why Libraries (cont….)cont….)

– Database expertiseDatabase expertise– Records management Records management – Work with metadata and preservationWork with metadata and preservation– Apply standards uniformlyApply standards uniformly– IPR issuesIPR issues– Central service provider Central service provider – Interact at all levels of the institutionInteract at all levels of the institution– Network cultureNetwork culture– End user of free research corpusEnd user of free research corpus



Early Institutional DemonstratorsEarly Institutional Demonstrators

• Australian National UniversityAustralian National University

• Hong Kong UniversityHong Kong University

• Humboldt University in BerlinHumboldt University in Berlin

• Utrecht, Lund, MIT. CalTech, LoCUtrecht, Lund, MIT. CalTech, LoC

• UK – Glasgow, Nottingham, UK – Glasgow, Nottingham, Edinburgh, SouthamptonEdinburgh, Southampton



Growing Focus on Open Growing Focus on Open AccessAccess

• ServicesServices– PubMed CentralPubMed Central

www.www.pubmedcentralpubmedcentral..nihnih..govgov

– BioMed CentralBioMed Centralwww.www.biomedcentralbiomedcentral.com.com

• SupportSupport– Public Library of SciencePublic Library of Science

www.www.publiclibraryofsciencepubliclibraryofscience.org.org



Support …….. fundingSupport …….. funding• Useful timeline of e-Print activity : Peter Suber Useful timeline of e-Print activity : Peter Suber FOS NewsletterFOS Newsletter Aug Aug

20022002

• Stevan Harnad, Univ Southampton ; leading advocate self archivingStevan Harnad, Univ Southampton ; leading advocate self archiving• and now institutional modeland now institutional model

• International Scholarly Communications AllianceInternational Scholarly Communications Alliance– Worldwide organisations collaborate with scholars and publishers to Worldwide organisations collaborate with scholars and publishers to

establish equitable access to scholarly and research publicationsestablish equitable access to scholarly and research publications

• Mellon Foundation $1.5m for seven US projectsMellon Foundation $1.5m for seven US projects

• Budapest Open Access Initiative - Soros Foundation OpenBudapest Open Access Initiative - Soros Foundation Open Information Society - $1m /3yrsInformation Society - $1m /3yrs

• UK JISC Focus on Access to Institutional ResourcesUK JISC Focus on Access to Institutional Resources– Glasgow – e-ThesesGlasgow – e-Theses– Consortium of University Libraries (CURL)Consortium of University Libraries (CURL)– UKOLN (bid includes OCLC as partner)UKOLN (bid includes OCLC as partner)– SouthamptonSouthampton



Univ Southampton e-Print Univ Southampton e-Print ArchiveArchive

• Project funding 30 months Aug 2002-2005: Project funding 30 months Aug 2002-2005:

TTargetting argetting AAcademic cademic RResearch for esearch for DDissemination and diissemination and diSSclosure (closure (TARDISTARDIS))– Project Manager, Research Assistants x 2, Admin Project Manager, Research Assistants x 2, Admin

OfficerOfficer• Implement a university e-Print archive – sustainable Implement a university e-Print archive – sustainable

productproduct

• Evaluate self and mediated archiving measured against Evaluate self and mediated archiving measured against discipline culturediscipline culture

• Document the technical, organisational and cultural issuesDocument the technical, organisational and cultural issues

• Feedback into the eprint software designFeedback into the eprint software design



Set up and installationSet up and installation

• eprints software @ eprints.orgeprints software @ eprints.org– Developed and maintained at the Developed and maintained at the

Electronics and Computer Science Electronics and Computer Science Dept, Univ of SouthamptonDept, Univ of Southampton

• Version 2Version 2

• FreeFree



Set up and installation – by Set up and installation – by computing staffcomputing staff

Hardware and software requirements:Hardware and software requirements:– Apache WWW serverApache WWW server– Unix / RedHat LinuxUnix / RedHat Linux

•Any computer capable of running Any computer capable of running GNU/Linux or similar operating GNU/Linux or similar operating systemsystem

– Perl programming language and Perl programming language and modulesmodules

– MySQL – public domain softwareMySQL – public domain software



Configuration – by library Configuration – by library staffstaff

• Reflect the look and feel of host Reflect the look and feel of host web interfaceweb interface

• Deposit types & Document Deposit types & Document formatsformats

• Subject listing – Library of Subject listing – Library of Congress or ASFIS Thesaurus ?Congress or ASFIS Thesaurus ?

• Additional metadataAdditional metadata



Configuration – Look and Configuration – Look and feelfeel



Configuration - Document Configuration - Document FormatsFormats

• Defaults : HTML, pdf, Postscript, ASCIIDefaults : HTML, pdf, Postscript, ASCII• May want to subtractMay want to subtract

– HTMLHTML

•Unless carefully checked HTML output Unless carefully checked HTML output from Word unsatisfactoryfrom Word unsatisfactory

• Add :Add :– Special document preparation formats: Special document preparation formats:

LaTex or common formats such as RTFLaTex or common formats such as RTF

• Open source utility programs available to Open source utility programs available to convert from non supported to supported convert from non supported to supported formatsformats

– Accept other formats?Accept other formats?• powerpointpowerpoint



Configuration – Document Configuration – Document typetype



Subjects / ThesaurusSubjects / Thesaurus

• Default subject classification Library Default subject classification Library of Congressof Congress

• Established general scheme often Established general scheme often used in University Librariesused in University Libraries

• Top Level HeadingsTop Level Headings– Subheadings Subheadings – Sufficient granularity?Sufficient granularity?

• Subject based thesaurus (ASFIS) too Subject based thesaurus (ASFIS) too detailed?detailed?

• None at all – rely on title, keywords None at all – rely on title, keywords and abstract retrieval?and abstract retrieval?





Configuration – new Configuration – new fieldsfields• Faculties, Schools, Departments, Faculties, Schools, Departments,

Research GroupsResearch Groups• LanguageLanguage• ISBN/ISSN?ISBN/ISSN?• All e-Print archives ‘customize’ All e-Print archives ‘customize’

the basic default eprints softwarethe basic default eprints software• Necessary to climb into code – no Necessary to climb into code – no

editor editor (part of TARDis project investigation)(part of TARDis project investigation)



Policy considerationsPolicy considerations

• Administrative/operational load Administrative/operational load

• Authentication of depositersAuthentication of depositers

• Quality control - levelQuality control - level

• Collection policy (refereed only ?) Collection policy (refereed only ?)

• Copyright / IPR institutional policyCopyright / IPR institutional policy– Retain the right to distribute it for free for scholarly scientific Retain the right to distribute it for free for scholarly scientific

purposes in particular, the right to self archive it publicly purposes in particular, the right to self archive it publicly online on the www.online on the www.

• Long term archiving / preservationLong term archiving / preservation– E-Print Archiving = depositE-Print Archiving = deposit– Open Archival Information System (OAIS) Project – model Open Archival Information System (OAIS) Project – model

based on digital objects being converted to bitstreams which based on digital objects being converted to bitstreams which can then be preserved indefinitelycan then be preserved indefinitely



Advocacy ProgrammeAdvocacy Programme

‘ ‘if you build it they will come’if you build it they will come’ Costner: Field of dreamsCostner: Field of dreams

• Early institutional e-Print archives have had problems Early institutional e-Print archives have had problems with acquisition of content possibly because of self with acquisition of content possibly because of self archiving protocol and discipline culturearchiving protocol and discipline culture

• Huge impetus in Institutional implementation will Huge impetus in Institutional implementation will greatly assist gaining support from researchersgreatly assist gaining support from researchers



Advocacy methodsAdvocacy methods

• e-Print archivee-Print archive• Advocacy web siteAdvocacy web site• Briefing paper to managementBriefing paper to management• Literature e.g. SPARC leafletLiterature e.g. SPARC leaflet• Institutional magazinesInstitutional magazines• Presenting at departmental Presenting at departmental

meetings and university meetings and university committeescommittees

• Special advocacy eventsSpecial advocacy events



Advocacy ProgrammeAdvocacy Programme• Researchers concern :Researchers concern :

– CopyrightCopyright– Quality control particularly peer reviewQuality control particularly peer review– Undermining the tried and tested Undermining the tried and tested

status quostatus quo• Submit to peer review and eprint depositSubmit to peer review and eprint deposit

– Visibility – compared with web pagesVisibility – compared with web pages• OAI metadata not picked up by search engines, some OAI metadata not picked up by search engines, some

browse pagesbrowse pages

• DP9 – new software tool translates OAI compliant DP9 – new software tool translates OAI compliant metadata into search engine friendly data – may solve metadata into search engine friendly data – may solve the problemthe problem

– Work load – theirsWork load – theirs



OAI RegistrationOAI Registration

• Data Providers need to register with Data Providers need to register with OAI registry.OAI registry.

• Not automated registrationNot automated registration• Consequence periodic :Consequence periodic :

– compliance testingcompliance testing– robustness testingrobustness testing

• Have to register with individual Have to register with individual service providers eg ARCservice providers eg ARC



Service ProviderService Provider• E-Print archive is its own service E-Print archive is its own service

providerprovider

• Cross archive searchingCross archive searching

• Arc is a federated search service Arc is a federated search service based on the Open Archives Initiative based on the Open Archives Initiative Protocol for Metadata Harvesting Protocol for Metadata Harvesting (OAI-PMH).(OAI-PMH).

• It includes a harvester which can It includes a harvester which can harvest compliant repositories, a harvest compliant repositories, a search engine together with a simple search engine together with a simple and advanced search interface and advanced search interface





IAMSLIC - Marine Science Cross IAMSLIC - Marine Science Cross Archive Search Service? Archive Search Service?

Precedent IAMSLIC Z39.50 Distributed LibraryPrecedent IAMSLIC Z39.50 Distributed Library

Outline proposal (simplistic!)Outline proposal (simplistic!)

1.1. IAMSLIC members implement institutional e-Print IAMSLIC members implement institutional e-Print archivesarchives

2.2. OAI registrationOAI registration3.3. IAMSLIC set up cross archive search serviceIAMSLIC set up cross archive search service4.4. Harvest members metadata provide search engine and Harvest members metadata provide search engine and

interfaceinterface5.5. IAMSLIC Marine Science e-Print ArchiveIAMSLIC Marine Science e-Print Archive

We can do it !We can do it !



Bridging the digital Bridging the digital dividedivide

• e-Print archives can provide free open e-Print archives can provide free open access to the worlds research literatureaccess to the worlds research literature

• Who Benefits?Who Benefits?– Researchers profileResearchers profile

• Evidence of increased citation rateEvidence of increased citation rate (Lawrence Nature (Lawrence Nature Webdebates)Webdebates)

– Institutions profileInstitutions profile• visibilityvisibility

– Library profileLibrary profile• Embedded in research processEmbedded in research process

– Developing NationsDeveloping Nations

IAMSLIC 2002IAMSLIC 2002 UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL


Implementing e-Prints is a new Implementing e-Prints is a new challenge for Libraries to challenge for Libraries to

embraceembrace

Pauline SimpsonPauline Simpson

Southampton Oceanography Centre, UKSouthampton Oceanography Centre, UK

Documents

UNIVERSITY OF SOUTHAMPTON AND NATURAL ENVIRONMENT RESEARCH COUNCIL Southampton Oceanography Centre IAMSLIC 2002 E-PRINTS AND THE OPEN ARCHIVE INITIATIVE