1. Case Study - Institutional Repository Model: The Max Planck eDoc system The Digital Library and e-Publishing for Science, Technology, and Medicine, 17.06.04 Geneva Gerhard Beier (Heinz Nixdorf Center for Information Management in the Max Planck Society)

2. Page 2 17 June 2004 Presentation Outline The Environment – The Max Planck Society The History – Genesis of the eDoc Server The Concepts – Details about the structure The Struggle – Obtaining Content - Measures The Vision – Open Access to research output The Future – from institutional repository to open access platform

3. Page 3 17 June 2004 The Environment - The Max Planck Society for the Advancement of Science

4. Page 4 17 June 2004 Environment – The Max Planck Society (MPS) The Max Planck Society for the Advancement of the Sciences is an independent, non-profit organization based in Germany Organized in 80 institutes dedicated to basic research in the areas of natural science, social science, the arts and humanities basic research in wide range of research fields, complementary to universities, new, emerging areas of research, interdisciplinary ~ 70 branch libraries, between < 1 and ~ 25 staff no central library unit, administrative position at headquarter (contracting) research areas in the MPG

5. Page 5 17 June 2004 The position of the Max Planck Society in this field The eInfo system in the MPS is based upon a dual strategy:  1 st pillar: Databases and Journals MPS wide access to databases and licensed full text information (some content will be locally loaded) = Traditional System of Information Provision  2 nd pillar: Innovation in Scholarly Communication Institutional repository approach: eDoc  Open Access Platform Project Open Access Journals: e.g. Living Reviews Prepare and pursue roadmap for the paradigm shift to open access in the Max Planck Society = Shaping the future of the scholarly communication system

6. Page 6 17 June 2004 Open Access and the Max Planck Society The Max Planck Society is taking a leading role in changing the scholarly communication system by moving to open access Berlin Declaration (issued 22nd Oct 03) as starting point in Germany and Europe to realize open access ( today about 40 organizations have signed) http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html Follow-up Conference in May 04 at CERN to discuss more thoroughly the roadmap and implementation of Open Access amongst the signatories of the declaration http://www.zim.mpg.de/openaccess-cern/ http://www.zim.mpg.de/openaccess-cern/

7. Page 7 17 June 2004 The History - The Genesis of the eDoc Server project

8. Page 8 17 June 2004 History & Future of the eDoc project Prototype system to explore the needs of scholars in a multi-disciplinary research organization conducting basic research eDoc is used for regular reporting from all Max Planck Institutes (annual report + X) eDoc is one pillar of the Open Access Strategy of the Max Planck Society eDoc 2 (2nd generation) is on the horizon and will be part of an open access platform for the MPS 2002 2003 2004- 2007

9. Page 9 17 June 2004 The Concepts - Details about the structure

10. Page 10 17 June 2004 Design Philosophy 2002-2003 Rapid prototype solution to create awareness for an institutional repository in the MPS Early involvement of pilot institutes articulating their needs and requirements to shape system design No long design phase, but feature driven development - due to commitments (annual reports) rapid feature development New more generic design of system necessary needed to address all needs and ensure scalability and long-term sustainability

11. Page 11 17 June 2004 Organization of the eDoc Server System is developed and maintained centrally by ZIM Policy questions and copyright issues are attacked centrally by the ZIM and complemented by local initiatives Administration and content acquisition from scientists/scholars is done on institute level  Institutes have to dedicate staff and time for feeding content and metadata into the system Multiple interfaces (up- and download) to local systems are provided Focus Group (eDoc pilots) ensures that the (development of the) system meets the needs of the institutes

12. Page 12 17 June 2004 Organization / Responsibilities Content is submitted to and administered in collections Collections are created in institutes and reflect organizational structure Collections have a defined policy (scope of material, quality control etc.) User rights are assigned on collection level Users: local eDoc manager; authority, moderator, metadata editor, privileged user, depositor (fixed user roles) Strict quality control process on collection level before content is publicly released by moderator and authority

13. Page 13 17 June 2004 Workflow - Quality Control Process Approval ProcessSubmission PhaseRelease Depositor (Author) Moderator Authority can reject subm. for content revision can reject subm. on formal grounds submits doc & recommends Access level for fulltext checks metadata, file format etc. reviews content Organization Quality Review authorizes & recommends Access level for full text accepts & recommends Access level for full text If doc is accepted and authorized: Metadata are public public MPG Institute level Internal Privileged users Access level for full text files

14. Page 14 17 June 2004 Example - Collections

15. Page 15 17 June 2004 Genre Types (document types) Separation of medium & concept e.g. article will be captured as such irrespectively whether they are published in print or eJournal List of standard genre types Research and institute specific types can be added No preprint genre type (only status accepted, submitted, published, unpublished) Article, Book, InBook, Issue, Conference Paper, Conference Proceedings, Poster, Talk at Event, Conference Report, Lecture/Courseware, Thesis, PhDThesis, Habilitation, Expert Opinion, Patent, Dataset, Software, Interactive Resource, Series, Journal

16. Page 16 17 June 2004 Metadata model Development of an own metadata model for eDoc Dump-down to Dublin Core is possible Existing schemas were considered and naming conventions applied Idea: generalisation of requirements of very heterogenuous disciplines Extension for eDoc 2: Institutes can add their own metadata or even metadata sets (planned)

17. Page 17 17 June 2004 Submission web-based submission  Single-form: genre dependent, context-sensitive help  Step-by-step: genre dependent, context sensitive help batch upload of metadata files  Upload of XML, Endnote, Reference Manager, Web of Science records  Batch authorization, selection for reports etc. possible Versioning  Document versioning  Metadata versioning  Withdrawn documents reside on the system

18. Page 18 17 June 2004 Web-based submission – single form

19. Page 19 17 June 2004 Web-based submission – step-by-step

20. Page 20 17 June 2004 Interoperability Features eDoc specific Metadata format (documented XML schema) -> mapped to DC OpenURL implemented (addresses MPS SFX server) Various export formats Endnote, Reference Manager, BibTeX, XML, HTML, PDF, RTF Interface to MPS CMS for annual reports Imports from XML, Endnote, Reference Manager, Web of Science (ISI) OAI 2.0 planned for summer 2004

21. Page 21 17 June 2004 Advanced Search - Basic

22. Page 22 17 June 2004 Advanced Search - Extended

23. Page 23 17 June 2004 Administrative Search

24. Page 24 17 June 2004 Mark records for basket

25. Page 25 17 June 2004 My Baskets

26. Page 26 17 June 2004 Export of records

27. Page 27 17 June 2004 Exports – citation style

28. Page 28 17 June 2004 Example – Document Affiliations

29. Page 29 17 June 2004 Contrast - Collections

30. Page 30 17 June 2004 The Struggle - Obtaining Content – Practical Measures

31. Page 31 17 June 2004 Obtaining Content – Practical Steps Introduction of eDoc was linked to the obligatory annual report – eDoc as the management tool for publication data of the institutes  Immediate high visibility amongst all institutes  Open Access advocacy and introduction of system was combined with pragmatic software solution for management of publication data – re-usability of data for reports MPS strategy of open access firmly supports initiatives like eDoc Advocacy and extensive support for Institutes by 2-3 people in ZIM team Import/Export interfaces ensure re-usability of data

32. Page 32 17 June 2004 Status Report – eDoc Usage (after approx. one year) ~ 15,000 records on eDoc publicly visible ~ 2,600 including full texts / content public access: ~ 1700 MPS wide access: ~ 200 Institute / priv. users: ~ 700 Main Genres: Articles, Posters, Conference Papers, Talks, Books, PhDThesis, Inbooks, Papers Potential: Approx. 60,000 metadata records from old annual reports already uploaded, but not yet publicly available > 10% Open Access

33. Page 33 17 June 2004 eDoc Usage All Institutes are using eDoc for the transmission and management of data for the annual reports About 400 registered eDoc users 26 Institutes have already implemented the full eDoc collection concept in their institutes (This is the pre-condition of releasing publicly records and full texts) A lot more institutes are discussing internally appropriate strategies how to implement eDoc for their institute

34. Page 34 17 June 2004 Reasons for reluctance in usage – and strategies by ZIM eDoc requires extensive discussions about responsibilities in institutes to organize the process of quality assurance  ZIM supports extensively through mails, phone workshops this process Local librarians criticize the lack of support of their directors for their activities  Comprehensive needs analysis and promotion tour in autumn 2004 – visits, workshops, questionnaires, promotional material  Steering committee on vice president level ensures communication to institutes

35. Page 35 17 June 2004 Reasons for reluctance in usage – and strategies by ZIM eDoc data cannot be used dynamically on the website of the institute  eDoc provides several export formats  ZIM addresses building of a real reporting tool by other parties in the MPS Some institutes still stick to their well-established own system for publication management  eDoc is working closely together with them to ensure data integration also on eDoc  to be built Open Access platform comprises functionalities not yet covered by eDoc and allows more configurability / personalization

36. Page 36 17 June 2004 The Vision - Open Access to research material – practical steps to approach the goal

37. Page 37 17 June 2004 Open Access to full texts on eDoc Uncertainty about the legal and political consequences of self-archiving of research results, which are e.g. published in scientific journals  Consultancy and support of the Institutes in questions of copyright and publishers’ policies by eDoc support team  Open Access Information on eDoc entry page  Help on Copyright FAQ page on eDoc  Links to Server informing about copyright & publishers  Building of an MPS internal database to manage and comment copyright agreements between MPS researchers and journals Open Access Advocacy and Promotion  Creation of a position for MPS Open Access Policy Management on central level

38. Page 38 17 June 2004 Need for License Need for legal security of archiving and dissemination („making public“) under conditions of Open Access (Berlin Declaration) License to indicate that copyrighted works are free to use but only under certain conditions, chosen by the author Need for License => Need for preventive education/support for authors and involved staff => Need for supporting infrastructure in the MPS  MPS Copyright Clearing Center (short term advice)  Dept. For „Open Access Policy“ (strategic negotiations with publishers on the long term)

39. Page 39 17 June 2004 Implementation on eDoc License is part of a general guarantee of all authors (or authorized author) to the MPS (to minimize liability of the organisation). General Guarantee may include limitation of license due to rights of third parties Signing of license = offline Attaching license to document = online during document workflow on eDoc:  Moderator (formal approval of record) accepts the entry in the moment license is signed and checked. He/she attaches access level to full text according to scope of signed guarantee/license Local Archiving of license

40. Page 40 17 June 2004 Open Access in the MPS & Copyright – an overview Concept in development… Author eDoc license (Creative Commons) eDoc moderators at institutes Open Access Policy Clearing House Central Administration eDoc/ZIM Copyright Database eDoc support Information / consulting Implementation eDoc Information for authors Administration of licenses Advocacy Policies Legal advice

41. Page 41 17 June 2004 The Future - From institutional repository to an open access platform

42. Page 42 17 June 2004 Lessons learned: introducing an institutional repository eDoc has hard-coded workflow, user rights, metadata, collections, object model etc. and the software is not extensible  new system is required Needs from institute go beyond that:  Collaborating with other researchers (flexible exchange of documents/objects)  Cultural heritage Online projects should rely on same infrastructure (more complex objects, up- and downloads)  Reports need to be addressed by a specialized project  Persistent identifier need to be provided  Long-term archiving  ePublishing  Common tools (e.g. display / annotation of images) should be made available to all institutes  Citability of primary research results / datasets needs to be guaranteed over at least 10 years

43. Page 43 17 June 2004 From institutional repository to open access platform… Externally funded open access platform project planned Goal: Capture external content for integration in Digital Library Services & expose research output of the MPS and feed into digital networks and scholarly communication services i.e. move from insular institutional repository system to modular, integrated technical system that provides sustainable and scalable central infrastructure with interfaces for local (global), discipline specific extensions build sustainable technical infrastructure in cooperation with national service center: FIZ Karlsruhe which has capability of long-term commitment to such an infrastructure and offering as a service to a wide range of institutions and organizations

44. Page 44 17 June 2004 Open Access Platform Storage Backend (sustainable, durable, open, long- term availability)  Capture e-documents as complex digital objects  Up-and download facilities for collection building  Interfaces for external applications (e.g. for zooming, annotating images) Open Access Portal  Web-based comprehensive access to MPS output (publications, working material, digital collections, eJournals, primary data) and open source software tools  Technical interfaces for dissemination and integration in research specific knowledge spaces, virtual collections or expert databases

45. Page 45 17 June 2004 use global services eDoc [publications, grey literature, supplementary material] incl. work flow (quality & release management) OAI Data Provision MPS Open Access Portal Global (disciplinary) services (discovery, evaluation, publishing, annotation…) Object Store (bit-stream preservation) Archival Service (functional preservation) local DBs OAI Data Provision Global Persistent Identifier Service Archival Supplementary Area local digital collections (e.g. primary sources) register and/or provide showcases ShowcasesProject Registry Citation (Work) Bench Digilib Image Viewer

46. Page 46 17 June 2004 Thank you for your attention! Gerhard Beier g.beier@zim.mpg.de +49-(0)89-3299-1552 g.beier@zim.mpg.de http://edoc.mpg.de A project of the Heinz Nixdorf Center for Informationmanagement in the Max Planck Society

47. Page 47 17 June 2004 Metadata Model genre specific bibliographic information organizational affiliation administrative subject classification document status external research project author editor translator painter.... people subsubunit subunit MPG unit MPG: yes/no refereeing Peer Review Internal Review No Review Editorial Review pub status audience educational submitted accepted published unpublished expert popular yes/no edoc-wide collection specific free keywords eDoc Document role name versioning metadata on metadata file specific edoc workflow related docs alt. resource references source

48. Page 48 17 June 2004 Database on Publisher Copyright Policies & Self-Archiving Aufbau der Datenbank auf Anregung der eDoc-Piloten Adresse: http://copyright.zim.mpg.dehttp://copyright.zim.mpg.de Zielsetzung: Ergänzung der allgemeinen Standard-Informationen über die Politik von VERLAGEN (Sherpa Datenbank) um kommentierte Informationen und Erfahrungen zur Politik einzelner ZEITSCHRIFTEN Nutzer:  Alle Nutzer in der MPG (IP-check) können lesen und schreiben  Institute können sukzessive Informationen zu Verträgen ablegen, die von Ihren WissenschaftlerInnen unterzeichnet wurden  Die Informationen sollten klassifiziert werden, ob Selbst-Archivierung erlaubt ist und unter welchen Konditionen Langfristiges Ziel: Instituts- bzw. MPG-weiter Überblick über unterzeichnete Verträge und Vertragsbedingungen und damit konkrete Hilfestellung bei der Frage, ob die Ergebnisse online frei zugänglich gemacht werden können.

49. Page 49 17 June 2004 Startseite Copyright Datenbank Informationen zur Zielsetzung und Links zu anderen Copyright- Datenbanken

50. Page 50 17 June 2004 Nature

51. Page 51 17 June 2004 Nature document:View comment on document: Press Release:Press Release: New deal for authors From 14 February 2002 Nature Publishing Group no longer requires authors to sign away their copyright. Instead, we are asking for an exclusive licence. In return, authors will be free to reuse their papers in any of their future printed work, and have the right to post a copy of the published paper on their own websites. In addition, authors - and the institutions in which they work - will be free to use their papers in course packs. (29.04.2004). depositor's email:i.overkamp@zim.mpg.de last modified: 2004/04/29

52. Page 52 17 June 2004 Nature – License to publish

53. Page 53 17 June 2004 Browse – Copyright Datenbank

54. Page 54 17 June 2004 Search – Copyright Datenbank

55. Page 55 17 June 2004 Help – Copyright Datenbank

56. Page 56 17 June 2004 eDoc und Autorenvereinbarung Kontext Autor und eDoc Grundlagen für mögliches Lizenzmodell:  Gutachten zu urheberrechtl. Aspekten bei Einrichtung des eDoc Servers von Prof. Hilty (MPI für geistiges Eigentum)  Vermerk zu rechtlichen Aspekten im Open Access / eDoc Projekt von Ray Rossmann (Rechtsreferat GV)  Creative Commons Lizenz (nach dt. Uhg): Autoren räumen der Allgemeinheit ein unentgeltliches, nicht- ausschließliches Nutzungsrecht für Ihre Arbeit ein. Die MPG als Teil der Allgemeinheit nimmt von dem Recht Gebrauch und stellt die Arbeit auf dem eDoc Server zur Verfügung. http://creativecommons.org/projects/international