Combining Cultures to Create Open Institutional e-Print Archives Making Connections: Connecting People, Connecting Technology ALT/SURF joint one-day conference Amsterdam 10 th April 2003

Combining Forces: Jessie Hey Information Manager Chris Gutteridge Computer Programmer University of Southampton, England

Cardigans and Anoraks combine forces Information Specialist Computer Scientist

Connecting People and Technology Followed by a complementary presentation developing the issues from the Dutch perspective by Kurt De Belder Chief of Electronic Services (in polo neck?) Universiteit van Amsterdam

Workshop progression to make you open archive aware! What do we mean? What is the OAI-PMH!!!? (Chris) Subject based and institutional archives (Jessie) What is the GNU EPrints software? (Chris) What is TARDIS about and how have we worked together? (Jessie) The broader UK vision (Jessie) The Dutch vision and activities (Kurt) Interspersed with lots of questions

Many catalysts for open archives Open as in freely available –Encouraged by Budapest Open Access Initiative Open as in interoperable –Encouraged by Open Archive Initiative

Budapest Open Access Initiative Launched 14 th February 2002 by George Soross Open Society Institute Worldwide coordinated movement dedicated to freeing online access Even wealthier institutions afford a small and shrinking proportion of the 4 million articles a year

The BOAI Providing universities with the means through institutional self archiving Providing support for new alternative journals offering open online access Open societies need open access

Open Archive Initiative Open Archive Initiative (OAI) – 1 st meeting in Santa Fe, New Mexico 3 years agoOpen Archive Initiative Now have an significant solution for open (interoperable) archives in OAI-PMH v 2 (Protocol for Metadata Harvesting) June 2002OAI-PMH v 2 Laid down rules which make search services for many distributed archives possible Your database needs to be OAI-compliant!

e-Prints or eprints or e-prints Electronic versions of research output including: –Journal articles –Conference papers –Book chapters –Reports –We take a holistic approach and include many items such as theses –Others take a very narrow approach to further open access to refereed papers They may include unpublished manuscripts and papers presented for publication (as copyright allows)

Archives Common term used for repositories/stores where authors self archive their work on the World Wide Web Very different in character to traditional library archives We have therefore used e-Prints service to clarify our mission

Entering another phase Many enabling technologies, standards, and protocols to support institutional repositories already exist e.g. the OAI-PMH protocol to enable interoperability The World Wide Web is taken for granted as part of the infrastructure

Anorak time A busy persons introduction to OAI- PMH by Chris

Subject based archives Pioneering example is ArXiv set up by Paul Ginsparg in 1991 Based on a culture of High Energy Physics preprints - trad. Science journal so slow and expensive I helped produce the paper listing at CERN in the 70s for circulation around the world the old-fashioned way Now needs a librarians eye to improve the subject navigation, formats and interface as it is used also by non-techies Other archives now like CogPrints and RePEc - Working papers in Economics - but not a huge number All 3 here started by enthusiasts

arXiv – server weekly usage Red - Number of connections in each week Blue - Number of hosts connecting that week (divide by 10 for correct number) Green - Number of new hosts that week (divide by 10)

eScholarship The California Digital Library (created 1997) started producing some discipline based archives: as they produce more they see that both subject and institutional archives will emerge and complement each other. They might, for example, have a branded research centre site and a central repository – TARDIS will be exploring these ideas too They may contain a variety of e-Prints from preprints through conference papers through journal articles through teaching materials or even data (as planned by MIT)

Institutional Archives Reawakening to the value of greater access to an institutions research Essential increase in visibility of our intellectual output A preservation role (like our traditional archivists?) – at least a secure system and collaboration on a complex problem I have papers that my colleagues who collaborated with me cannot read or do not have a copy of because we do not subscribe to that journal (problem highlighted by the UK Research Assessment Exercise) From our departmental database Google will find the paper if we have self archived it

Range of Software Options for Archives/Repositories GNU EPrints [Southampton] DSpace [MIT/Hewlett Packard, USA] CDSware [CERN, Geneva] ARNO [Tilburg] ETD-db for theses [Virginia Tech, USA] Greenstone for digital libraries [New Zealand]

Supporting Software Software such as GNU EPrints from IAM group University of Southampton is free Pioneered by Prof. Stevan Harnad to further the cause of self-archiving EPrints 2 developed by Chris Gutteridge Eprints mailing lists indicate takeup is global and new users feedback into EPrints (e.g. language)

Anorak time What is GNU Eprints 2? by Chris

Our TARDIS project – what is it about? Targeting Academic Research for Deposit and Disclosure (as it says on the tin) Building Towards a Sustainable e-Print service for Southampton research Multidisciplinary collections with views for communities Extended model with mediated deposit Input to design of the software to match institutional repositories needs Presentations and documents at

Time of preparatory work with departments, software and library Looking at departmental practice – environmental assessment Modifying aspects of software relevant to working on a broader front –Incorporating good library practice –Involving Human Computer Interaction lecturer e.g. Submission process Publication types Format of output Involving other librarians – e.g. workshop in March

Examples of current departmental web site publication data at Southampton University

Some other observations – how can we best complement their practice? Astronomy importing data from arXiv Economics feed into RePEc global archive Physicists may search SPIRES library database linked to arXiv (recent survey results) School of Health Professions is example of clear, well organised publications listing for staff but no full text Academics have many demands for publications listings in a variety of formats

Copyright concerns must be addressed Raising awareness of key issues and making help visible to depositor RoMEO project – publisher copyright policies and self-archiving table found useful to both our librarians and academics The impact of copyright ownership on open access. EUSIDIC Spring Meeting. Karlsruhe, 18 March 2003 Creating author deposit agreement for e- Prints Soton

Working together Understanding what we both mean by fundamental concepts: Preservation Cosmetic Understanding how the parts we care about affect the others concerns – chicken and egg! Library concerns v. database concerns Listening and explaining!

Open Archives Forum disseminates information about European activity An Aim: stimulating building of an open archives infrastructure in Europe Found country activity in: Austria, Belgium, Denmark, Finland, France, Germany, Ireland, Italy, Norway, the Netherlands, Portugal, Russia, Sweden, Switzerland, UK and 20 countries were at Geneva workshop in October nd Workshop – Open Access to Hidden Resources Lisbon Portugal 5-7 Dec 2002 for Libraries and Archives to explore viability of open archive approach

Were not alone – support from the USA The Case for Institutional Repositories: a SPARC position paper – prepared by Raym Crow July 2002 Supplemented by: SPARC Institutional Repository Checklist and Resources Guide October 2002

FAIR programme – support in the UK £3 million on 14 projects starting August 2002 Clusters: –Museums and Images –E-Prints –E-theses –IPR –Institutional portals

UK Focus on Access to Institutional Resources – e-Prints TARDis: Targeting Academic Resources for Dissemination and dISclosure SHERPA: broader - Consortium of Research Libraries – filling archives and joint infrastructure HaIRST: A testbed for Scotland ePrints-UK: also investigating subject structure using Dewey classification

ePrints-UK architecture* * reproduced with permission

FAIR: UK vision to increase access to scholarly assets FAIR programme for a Focus on Access to Institutional Resources Inspired by the vision of the Open Archives Initiative (OAI) that digital resources can be shared between organisations based on a simple mechanisim allowing metadata about these resources to be harvested into services To support the disclosure of institutional assets: To support access to and sharing of institutional content within Higher Education and Further Education and to allow intelligence to be gathered about the technical, organisational and cultural challenges of these processes…

TARDis – to summarise Providing an exemplar institutional archive at Southampton – practising what we preach and building on the software and advocacy examples provided by Southampton people Combining self-archiving (including departmental archives) and an institutional archive (mediated by the library) Feeding back new demands of each into the EPrints software as librarians (not techies)

Describing the vision – but can we change the university culture(s)?

Next stage - Moving on to the Dutch perspective Philosophy Practice Producing Services How do they relate to our UK experience as illustrated by our e-Prints Soton handout? Thank you - Chris Gutteridge and Jessie Hey And on to Kurt De Belder