1. Open access publishing and institutional repositories: an overview Lucy A. Tedd Lecturer, Department of Information Studies, Aberystwyth University, Wales Editor: Program: Electronic library and information systems February 2009

2. What is open access (OA)? Many definitions – a report from the Joint Information Systems Committee in the UK of 2006 stated: “The World Wide Web has provided the means for researchers to make their research results available to anyone, anywhere, at any time. This applies to journal articles regardless of whether or not their library has a subscription to the journal in which the articles were published as well as to other types of research output such as conference papers, theses or research reports. This is known as Open Access.” (http://www.jisc.ac.uk/publications/publications/pub_open access_v2.aspx)

3. The Open Access movement 1991 Subject-based repository of pre-prints in physics (arXiv),now 500,000+ entries at Cornell (http://arxiv.org) 1995 Stevan Harnad subversive proposal “in an ideal world of scholarly communication, all research should be freely available” (http://www.arl.org/scomm/subversive/toc.html)http://www.arl.org/scomm/subversive/toc.html 2001 Budapest Open Access Initiative 2003 Berlin declaration on open access to knowledge in science and humanities

4. Budapest Open Access Initiative An old tradition and a new technology have converged to make possible an unprecedented public good. The old tradition is the willingness of scientists and scholars to publish the fruits of their research in scholarly journals without payment, for the sake of inquiry and knowledge. The new technology is the internet. The public good they make possible is the world-wide electronic distribution of the peer-reviewed journal literature and completely free and unrestricted access to it by all scientists, scholars, teachers, students, and other curious minds. Removing access barriers to this literature will accelerate research, enrich education, share the learning of the rich with the poor and the poor with the rich, make this literature as useful as it can be, and lay the foundation for uniting humanity in a common intellectual conversation and quest for knowledge. http://www.soros.org/openaccess/read.shtml

5. Open Society Institute’s Information Program the development of business models and plans for self- archiving and open access publishing; the use of library networks to mobilise support for open access; support for authors in low and middle income countries to publish in open access journals; the development of software tools and templates for open access publishing, self-archiving, indexing and navigation; the promotion of the open access philosophy. (http://www.soros.org/openaccess/commitment.shtml)

6. Gold and Green OA publishing Gold OA - uses a funding model that does not charge readers or their institutions for access e.g. Ariadne, D-Lib Magazine and First Monday Green OA - authors publish papers in one of the 25,000 or so refereed journals in all disciplines and then self-archive these papers in open access repositories.

7. Scholarly publishing and OA One conclusion of Oppenheim’s 2008 review: “Libraries will increasingly switch to OA sources, leading to libraries gaining a more prominent role in scholarly publishing with activity in both the preservation and distribution of scholarly research. Libraries will need to move from being passive to active players in the scholarly communication chain.” Oppenheim, Charles, Electronic scholarly publishing and open access. Journal of Information Science, 2008, 34(4), p.577-590.

8. What is an institutional/digital repository? Clifford Lynch, Executive Director, Coalition for Networked Information, stated “In my view, a university-based institutional repository is a set of services that a university offers to the members of its community for the management and dissemination of digital materials created by the institution and its community members. It is most essentially an organizational commitment to the stewardship of these digital materials, including long-term preservation where appropriate, as well as organization and access or distribution.” ARL: A Bimonthly Report, no. 226 (February 2003) –Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age http://www.arl.org/resources/pubs/br/br226/br226ir.shtml

9. How does an IR differ from other digital collections? Content is deposited in a repository – by content creator, owner etc. Repository architecture manages the content and the metadata Repository software offers a minimum set of basic services – put, get, search Repository must be sustainable, trusted, well- supported and well-managed –Heery, R. and Anderson S. (2005) Digital Repositories Review. UKOLN and AHDS. Available at: http://www.jisc.ac.uk/uploaded_documents/digital- repositories-review-2005.pdf

10. What might be in an IR? Pre-prints of papers Post-prints of papers Doctoral theses Masters dissertations Research reports Book chapters Conference papers Teaching materials Databanks of ‘raw’ data Multimedia objects ++

11. Why are institutional repositories popular now? Universities/institutions realising that they are businesses and research income depends on ‘outputs’ Mandates e.g. from research funding bodies, universities Open access movement and need to provide free access to publicly funded research Technology maturing –Open source software (DSpace, Eprints, Fedora) –Commercial software (ExLibris Digitool, VTLS-Vital etc) ++

12. OpenDOAR – Directory of Open Access Repositories The OpenDOAR service provides a quality- assured listing of open access repositories around the world. OpenDOAR staff harvest and assign metadata to allow categorisation and analysis to assist the wider use and exploitation of repositories. Each of the repositories has been visited by OpenDOAR staff to ensure a high degree of quality and consistency in the information provided: OpenDOAR is maintained by SHERPA consortium staff at the University of Nottingham, UK http://www.opendoar.org/about.html

15. Institutional repository at Aberystwyth - CADAIR http://cadair.aber.ac.uk/ –DSpace software –1780 items (Feb. 2009) –Journal articles / e-theses / presentations –Recruitment of a repository manager in 2008 Advocacy of concept with the university Mediated deposit

20. IR at National Institute of Oceanography, India http://drs.nio.org/drs/index.jsp DRS- Digital Repository Service 2571 items (Feb. 2009) Aims to “collect, preserve and disseminate different institutional publications (journal articles, conference proceeding articles, Technical reports, thesis, dissertations, etc)”.

23. ROAR- Registry of Open Access Repositories Aims to monitor overall growth in the number of eprint archives and to maintain a list of GNU EPrints sites http://roar.eprints.org Available from Southampton University, UK Data gathered automatically via OAI-PMH ROAR also keeps track of the archiving policies of institutions. 31 universities/departments (including Southampton, Glasgow and Stirling in the UK, Harvard and Stanford in the US, and the National Institute of Technology, Rourkela in India and Bharathidasan University) had adopted author mandates 34 research funding bodies (including all the UK Research Councils, the European Research Council and the US National Institutes of Health) that now operate similar mandates

24. Other ‘overviews’ of IRs Repository66 – a mash-up by Stuart Lewis of Aberystwyth based on OpenDOAR and ROAR (http://maps.repository66.org/)http://maps.repository66.org/ World ranking of institutional repositories (http://repositories.webometrics.info/about_r ank.html )

27. Support for the development of IRs in the UK JISC has provided much funding in this area. 2002-5 Focus on Access to Institutional Repositories - Theses Alive! Electronic Theses, ROMEO (Rights Metadata for Open Archiving) SHERPA (Securing a Hybrid Environment for Research Preservation and Access) 2005-7 Digital Repositories Programme - 20 specific projects e.g.openDOAR, EThoS, Repository Bridge 2006-9 Repository and Preservation Programme - supporting digital repositories and preservation, including cross-searching facilities across repositories; funding for institutions to develop a critical mass of content, preservation solutions and advice for the development of repositories” many separate projects (http://www.jisc.ac.uk/whatwedo/programmes/reppres.as px)

28. Repository Support Project (RSP) Consortium from SHERPA (Nottingham), ePints Team (Southampton), Bath(UKOLN) and Aberystwyth 2007-end March 2009 Funded by JISC - £1.4m Aim “co-ordinate and deliver good practice and practical advice to English and Welsh higher education institutions to enable the implementation, management and development of digital institutional repositories”). http://www.rsp.ac.uk

30. Welsh Repository Network (WRN) 2007-end March 2009 Funded by JISC Run from Aberystwyth University on behalf of Welsh Higher Education Libraries Forum aims to put in place “an essential building block for the development of an integrated network of institutional digital repositories in one region of the UK – the country of Wales” 12 institutions – most use DSpace, one ePrints and one Digital Commons.

31. Academic staff and IRs : some personal experiences 2004 – I attended a presentation at the National Library of Wales on some JISC FAIR projects 2006 – early supporter of CADAIR when it was being piloted as part of JISC-funded Repository Bridge project 2007-date – attempts to encourage academic colleagues to deposit materials in CADAIR – not always easy!

32. Advantages for academics in using IRs (from RSP) Increased visibility of research output and consequently the department and the institution Potentially increased impact of the research Help in managing and storing digital content connected with the research, including the underlying research data Help in managing the likely requirements of funding bodies for publications to be made available in a repository. Provides the possibility to standardise institutional records Allows the creation of personalised publications lists Offers usage metrics to determine hit rates on specific papers.

33. CADAIR repository manager Some of the challenges Cultural – move from paper to webpage Institutional – raising awareness at high level. Implementation of mandate for deposit of research theses and taught masters theses gaining a distinction Departmental – assistance in depositing metadata for Research Assessment Exercise (RAE) materials. Talks to encourage staff to deposit Individual – assistance in gaining permissions etc.

34. Final word from Oppenheim “ We can expect funders to continue to move towards requiring OA outputs from the recipients of their funding, and institutions to move steadily towards mandating OA. It will be an interesting time.” Oppenheim, Charles, Electronic scholarly publishing and open access. Journal of Information Science, 2008, 34(4), p.577-590

35. Thank you!