1. LOCKSS and OpenLOCKSS Adam Rusbridge and William J Nixon UKSG Breakout Session April 2008

2. Session Outline LOCKSS UK LOCKSS Pilot Programme –Stakeholders –OpenLOCKSS –Reflections –Lessons Learned –Next Steps

3. What is LOCKSS Lots of Copies Keep Stuff Safe –http://www.lockss.orghttp://www.lockss.org Unique, peer-to-peer archiving model –tool to ensure libraries remain memory organisations, custodians of digital content –preservation no longer a side-effect of distribution economically stable model that benefits both libraries and publishers –helps libraries fulfil collection development role –does not interfere with publisher sales

4. The LOCKSS System Large number of independent and persistent collections of content relevant to library goals –library collections overlap sufficiently to provide replication higher than for centralised system –Publisher uploads manifest page containing the LOCKSS permission statement list of volumes an institution is authorised to collect in their LOCKSS box –LOCKSS collects the material direct from publisher Plugin defines ‘rules’ identifying content corresponding to journal volumes Collected and preserved in local LOCKSS box Long term survival of data requires regular audit of infrequently accessed bitstreams –continuous 'round robin' polling audit algorithm used to verify content

5. The LOCKSS System In event of data loss, retrieval from publisher is first attempted –Otherwise, retrieval from trusted peer with whom you have previously polled. LOCKSS box designed to integrate into institutional proxy network –Requests for content always forwarded to publisher Publisher can identify content usage –Only served if publisher fails to respond content no longer available publisher unavailable

6. LOCKSS Box A library's LOCKSS box –Does not require significant system administration –Numerous features dedicated to ensuring platform security reboot to restore –Twice yearly upgrade process is straightforward and fast

7. Background to the Pilot JISC E-journal Archiving Study in 2003 highlighted emerging developments (i.e. LOCKSS, JSTOR Electronic Archiving Initiative - predecessor of Portico, UK legal deposit and OCLC Digital Archive). JISC NESLi2 Model Licence archive clauses (from 2006) provided a measure of assurance for libraries. Concerns about enforcement mechanisms. British Library E-journal Digital Archive CLIR (Council on Library and Information Resources) report: E-Journal Archiving Metes and Bounds: A Survey of the Landscape. –JISC-funded Review and Analysis, by Maggie Jones

8. UK LOCKSS Pilot Programme Distributed LOCKSS environment requires –investment by libraries –centralised coordination and support Two-year pilot launched in February 2006 –jointly funded by JISC / CURL Stakeholders –Libraries –Publishers –Central Bodies and Negotiation Agencies –Digital Curation Centre (DCC) LOCKSS Technical Support Service

9. LOCKSS Pilot Objectives Raise awareness of the LOCKSS initiative. Seed a self-sustaining base of LOCKSS users in the UK –provide libraries with the practical help to get started –develop the skills needed to run their LOCKSS nodes Study the LOCKSS technology in an operational environment Investigate the challenges associated with collective preservation of a major proportion of the e-journals in common use in the JISC community. Build a centre of expertise outside the US, feeding the lessons learned back for the benefit of the international LOCKSS community. Allow the JISC community to make informed assessments regarding the most appropriate future use of LOCKSS

10. UK Libraries University of Birmingham Cambridge University Library Cardiff University De Montfort University University of Durham University of East London University of Edinburgh University of Exeter University of Glasgow University of Hertfordshire University of Hull Kings' College London University of Liverpool Loughborough University University of Manchester Middlesex University University of Newcastle Upon Tyne Oxford University University of Sheffield University of St Andrews University of Surrey UCL Library Services University of Wolverhampton University of York Associate Members: University of Bristol University of Huddersfield University of Leicester London School of Economics and Political Science University of Sussex University of Warwick

11. Libraries and LOCKSS Benefits of Participation –Libraries are important memory organizations; ensure their relevance. LOCKSS supports library's mission Libraries have most at stake: key for them to be part of the solution –Community Participation –Control of Assets Long term investment in collections –Control of Infrastructure Low cost solution –Minimise maintenance costs by using open source software –Reduce system administration costs through automation –Minimise user education costs by integrating with standard library technologies

12. Glasgow’s Motivations Online provision of current and older volume of journals continues to expand Plans for the reallocation of printed journals are ongoing Academic Staff have raised questions about permanent online access Preservation tools and solutions needed: –If we are to discharge our responsibilities to support research and teaching –To demonstrate our commitment to preservation and, critically, perpetual access LOCKSS and Portico – E-Journal Insurance

13. Publishers and LOCKSS Benefits of Participation –LOCKSS preserves original article look and feel, keeping publisher branding intact –No fee to participate –LOCKSS ensures uninterrupted access to content even when the publisher's site is down –International adoption - growing community –Helps introduce publisher titles to new markets –Shared responsibility for curation –Keeps their customers – libraries - happy

14. UK Publishers Outcomes of UK Pilot Activity: –Signed and available to archive: Royal Society of Chemistry Annual Reviews –Signed and available soon: Taylor and Francis Cambridge University Press British Psychological Society Royal Society

15. Content in the UK LOCKSS Programme Content key to the UK Pilot –Critical issue: how to bring more content into LOCKSS? –What is the most appropriate content type to focus on? Large Commercial Publishers –Correlation between budget expenditure and awareness High library demand for these publishers –However Publisher's business model and economic stability means these assets are exposed to low risk –CLOCKSS

16. Content in the UK LOCKSS Programme Small, Medium and Closed Publishers –Range of publishers and their status means they are potentially more exposed –Build upon the NESLi2-SMP work Adherence to Post-termination and archiving clauses (8.4-8.10) a requirement for participation Ideally, integrate archival agreements into NESLi2-SMP negotiations –Logical step to push forward with LOCKSS compliance Open Access Publishers –The most fragile and ephemeral –Numerous

17. Central Bodies and Negotiation Agents JISC are in a strong position to coordinate activity Content Complete Ltd have undertaken negotiation work for NESLi2 content –Integrate LOCKSS negotiations into Content Complete Ltd workflow as standard What about non-NESLi2 content –negotiations led by LOCKSS Technical Support Service? –How can central identification of titles occur? JISC Journals Working Group JISC Library Advisory Working Group

18. Community Development It is the shared responsibility of libraries to take appropriate measures to safeguard digital content Appropriate and thorough Collection Development Mechanisms required –Title Identification: Discussion between Subject Specialists –Build into existing organisational structures e.g. CURL Local Consortia For advocacy, identification and negotiations

19. OpenLOCKSS Funded by JISC Ran from March to August 2007 Project Staff –Tony Kidd (Project Director)‏ –Laura Galloway –William J Nixon –Adam Rusbridge Built on the Oct 06 Open Access Survey Contacted 28 Publishers (32 Titles)‏ Received 19 Positive responses First plug-ins now available

20. Deliverables Agree with 12-15 journals on participation in LOCKSS Ensure the availability of publisher manifest pages for participating journals Write appropriate plug-ins Agree hosting among LOCKSS Pilot Project participants Write publicity and information material about LOCKSS for Open Access journal publishers Deliver the Project final report to JISC by mid-August 2007

21. Background to OpenLOCKSS OpenLOCKSS took its lead from the US LOCKSS Humanities Project Opportunity to engage with UK Open Access Publishers 2006 OA Survey –Titles compiled from DOAJ –Each Pilot Participant was asked to vote –Could also suggest titles –Votes were used to identify titles approached –Survey was complementary to CCL’s

22. Key Activities Working with Journal Publishers –Selecting and contacting the journals –Following up with journal publishers –Liaising with publishers/answering their queries –Selecting Additional “Reserve” titles –Negotiating for agreement LOCKSS Development –Implementing manifest pages –Writing plug-ins

23. Working with Publishers Selecting initial titles from the OA Survey –13 Selected [3 Declined, 4 Yes] Development of Publicity Materials Website and PDF Material Contact and Follow-up –E-mail and Telephone Negotiating for Agreement –Technical and Legal Queries Additional “Reserve” Titles –2 Reserve Lists [19 Additional Titles] –Much faster and more positive response

24. Initial Titles No5Renaissance Forum No5Popular Musicology Online Declined5D-Lib Magazine No6Peace, Conflict & Development No6Law, Social Justice & Global Development Considering request6International Journal of Communications Law & Policy Yes, Manifest Page sent6Chemistry Education: Research and Practice Yes (Provisional)‏8Web Journal of Current Legal Issues Yes (Provisional)‏8Reviews in History No8Journal of Information, Law & Technology Yes (Provisional)‏9Ariadne Declined13Health Statistics Quarterly Declined14Population Trends ParticipationVotesTitle

25. 1 st Group of Reserve Titles Yes, Plugin completed3RLG DigiNews Yes, Plugin available3Journal of eLiteracy (JeLit)‏ Yes, Manifest Page sent4Psycoloquy Yes, Manifest Page added4Museum & Society Yes, Manifest Page sent4Journal of Language & Literature Yes, Manifest Page sent4Journal of Language & Learning Yes, Manifest Page sent4Journal of Language & Linguistics Yes (Provisional)‏4Journal of Hospitality, Leisure, Sport & Tourism Education Yes, Manifest Page added4Information Research Yes, Manifest Page sent4Forced Migration Review No4Discourse Analysis Online ParticipationVotesTitle

26. 2nd Group of Reserve Titles No3The Surgeon No3Scope Yes, Manifest Page sent2Journal of RNAi and Gene Silencing Yes, Manifest Page sent3Journal of Molecular & Genetic Medicine No3The Journal for Critical Education Policy Studies No3International Journal for Mathematics Teaching & Learning Yes, Manifest Page sent3Genomics, Society and Policy Yes, Manifest Page sent3Epherema: Theory & Politics in Organization ParticipationVotesTitle

27. Additional Titles from Libertas Academica Analytical Chemistry Insights Bioinformatics and Biology Insights Biomarker Insights Cancer Informatics Clinical Medicine: Arthritis and Musculoskeletal Disorders Clinical Medicine: Cardiology Clinical Medicine: Oncology Clinical Medicine: Respiratory and Pulmonary Medicine Drug Target Insights Evolutionary Bioinformatics Integrative Medicine Insights Gene Regulation and Systems Biology Perspectives in Medicinal Chemistry Translational Oncogenomics

28. Key Risks Publisher Risks –Lack of response or agreement with OA publishers Participant Risks –Insufficient participants to host the journals Development Risks –Plug-in development time

29. Lessons Learned Publisher Negotiations –Can be time consuming –Needs persistence –Provide key information about costs, technology and legal issues Legal queries –Content re-use –Attribution and copyright Plug-in challenges –Diversity of platforms –Valuable learning and development opportunities

30. Current Status Now released: –Journal for eLiterature –Museum and Society –Psycoloquy Coming Soon –Journal of Language and Linguistics –Journal of Language and Learning –Ephemera –Information Research –Libertas Academica Titles

31. Ongoing Work Follow-up with Publishers –Ongoing correspondence and Manifest pages Ongoing Release of Plug-ins –Work with the DCC and Pilot Participants Maintenance of Website –Updates on OpenLOCKSS Progress Dissemination Activities –UKSG in April 2008 –Journal article

32. Conclusions and Outcomes The agreement of 19 Open Access titles to be included in the LOCKSS system. LOCKSS is an ideal low-cost mechanism for ensuring preservation, particularly for Open Access titles There are many Open Access publishers who are very interested, very keen in some cases to have their content preserved by LOCKSS Our experience would indicate that there would be many more who would be willing to join the LOCKSS system

33. Pilot Programme Achievements Provided participants with the skills needed to implement and run LOCKSS Improvements in system documentation and streamlined processes –easier for new institutions to join and participate Designed and implemented a robust support management mechanism which enables librarians to contribute to the ongoing direction of the LOCKSS approach –receive critical feedback to understand user experiences, identify ideas, and implement system improvements Provided affordable, local support to UK HE/FE institutions using LOCKSS –low administration and management overheads commended by many participants

34. Pilot Programme Achievements Established a UK-wide centre of expertise in digital journal archiving –ensuring that UK priorities are identified and addressed at the national level. Implemented a programme of training events and workshops –forum to share their experiences and debate common issues Successfully introduced and raised awareness about the key issues associated with long-term digital journal preservation –emphasis on: financial and accessibility benefits of building local collections identifying the risks associated with the licensing constraints of current access models.

35. Pilot Programme Achievements JISC's negotiation agent, Content Complete Ltd, has improved communications with publishers to make them aware of the needs of the LOCKSS library community –continuing to add more UK content of interest into LOCKSS. The OpenLOCKSS initiative has successfully improved the model for the identification, negotiation, and participation of open access content –a model undertaken by libraries, for libraries.

36. Assessment and Evaluation LOCKSS Pilot Programme Evaluation –JISC evaluation of the LOCKSS Pilot Programme, led by Evidence Base (University of Birmingham)‏ Electronic Journal Comparison Study –Comparative study between electronic journal archiving services, led by Tee Em Consulting

37. Continuation JISC has funded the pilot phase of LOCKSS in the UK until July 2008 –Extension funding from April to July 2008 while evaluation studies are ongoing –Provides libraries with clear guidance on decision making Sustainability requires institutional contribution through membership fees to a UK LOCKSS alliance –during first year, begin transfer away from full JISC/CURL funding

38. Why Join the Programme? Access newly released premium LOCKSS content Reader access to content when you need it Dedicated UK support and guidance for libraries and publishers Access to detailed documentation Influence LOCKSS development activity to meet your needs Participate in cutting-edge international preservation initiatives Improved communication channels with publishers. Over 300 publishers have currently signed on to LOCKSS and more are joining every month Influence strategic coordination to identify and appraise titles of interest, both for commercial and open access use

39. Cost of Participation £1,086E-F £1,727D £2,369C £3,850B £5,429A Annual Fee – first yearJISC Band Current draft figures:

40. Running Costs of the LOCKSS Programme Low Institutional Cost –Minimum System Administration –Non-time consuming Collection Development Support and development costs covered by annual fee Negotiation Cost –embed within JISC negotiation agents –community-based working groups

41. LOCKSS Lessons Learned Identifying value in preservation system is difficult –Investment does not result in immediate access benefits Ongoing central coordination is necessary –Build expertise in support of community –New territory: librarians need support and advice –Understanding user needs a continuous process Content diversity can be challenging Innovation depends on experimentation –Software is never perfect Most ideal solution available to ensure library stewardship –User needs are constantly changing –Diversity of solutions: a good thing

42. The UK Pilot as a Model Initiative The UK LOCKSS Programme has promoted a model whereby –title identification and negotiation skills is undertaken in the UK ensuring UK priorities are highlighted and addressed –assets are retained in the UK at an appropriate organisational level Several countries in Europe and Asia are looking to the UK Programme Model –similar national initiatives to launch

43. Adam Rusbridge (a.rusbridge@hatii.arts.gla.ac.uk)‏ William J Nixon (w.nixon@lib.gla.ac.uk)‏ http://www.dcc.ac.uk/lockss http://www.lib.gla.ac.uk/research/openlockss "...let us save what remains: not by vaults and locks which fence them from the public eye and use in consigning them to the waste of time, but by such a multiplication of copies, as shall place them beyond the reach of accident” - Thomas Jefferson