1. Institutional repositories: barriers and drivers Alma Swan Key Perspectives Ltd RSP Summer School, Dartington, June 2007

2. The digital era “The potential role of electronic networks in scientific publication … goes far beyond providing searchable archives for electronic journals. The whole process of scholarly communication is undergoing a revolution comparable to the one occasioned by the invention of printing.” Stevan Harnad, 1990 Key Perspectives Ltd

6. Author experience so far Only 24% of authors have submitted an article to an Open Access journal Only 22% have self-archived in their institutional repository Key Perspectives Ltd

7. JISC Information Environment

8. REPOSITORIES and OA journal content Ingest layer services Search / retrieve Aggregate / display Count / assess Peer review Other value adding Editorial Key Perspectives Ltd

9. The stakeholders Management Authors Readers Repository staff Key Perspectives Ltd

10. Management Showcase (marketing) Collection (stewardship) Preservation Management information tool Competitor analysis tool N.B. espida.org Key Perspectives Ltd

11. Authors Visibility (Googlespace) Impact Recognition Discussion Collaboration Career development Key Perspectives Ltd

12. Readers Be prepared for few front-door entrants Sell on the basis of demonstrated access improvements Googlespace Key Perspectives Ltd

13. Repository staff Manage expectations Be realistic about the effort required Make clear the importance of the work Make clear the interest and challenges of the work Key Perspectives Ltd

14. BARRIERS Key Perspectives Ltd

15. Barriers Technology Cost Publishers People! Authors Institutional managers Key Perspectives Ltd

16. Technology Simple Server Software EPrints DSpace Fedora Bespoke OAI Key Perspectives Ltd

17. Cost elements Software Open source Paid for Hardware Server Hosted People Key Perspectives Ltd

18. Cost examples MIT: ~$3 million Nottingham University: £6500 The real cost comes afterwards Key Perspectives Ltd

19. Pays what? For what? BYO repository: £5,750+ Outsourced build: £4,500+ Outsourced build/host: £23,750+ Staffing: Setting up:1.5 FTE Running:2.5 FTE Key Perspectives Ltd

20. Authors Awareness Rights (confusion and misinformation Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

21. Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

22. Awareness Key Perspectives Ltd

23. Researchers are deaf … Key Perspectives Ltd

24. Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

25. Rights Do have the option to retain copyright (though you hear some funny tales) Universities increasingly encouraging this Even if copyright is relinquished many journals allow self-archiving A&H material can have 3P rights complications T&L materials are more challenging but not impossible Key Perspectives Ltd

26. Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

27. Time Two factors: Complexity of the metadata you require (they have little understanding of info science) How organised their hard disk is Average time to deposit is 7 minutes Average per year is ~20 minutes Key Perspectives Ltd

29. Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

31. Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd

32. Open Access: Who benefits? Benefits to researchers themselves Benefits to institutions Benefits to national economies Benefits to science and society Key Perspectives Ltd

33. Why we should have Open Access Greater impact from scholarly endeavour More rapid and more efficient progress of scholarship Better assessment, better monitoring, better management of research Better information-creation using new and better technologies Key Perspectives Ltd

34. The sundry … Choosy about the company they keep Versions Keying the same stuff over and over www.eprints.org/openaccess/self-faq/#32-worries Key Perspectives Ltd

35. Institutional managers Hard to engage at the right level Must be convinced of the need to develop a proper policy Must be informed of the mandate advantage Key Perspectives Ltd

36. A few statistics There are circa 950 repositories globally There are 32 documented policies There are 10 mandates Key Perspectives Ltd

37. Here’s the problem… Only 15% of research articles are spontaneously self-archived The average number of postprints self-archived in institutional repositories is 297 Key Perspectives Ltd

38. Policies, mandates There is a difference Both are being developed at institutional, national and even international level One is sometimes effective, the other always is Key Perspectives Ltd

39. DRIVERS Key Perspectives Ltd

40. Drivers: management level OA: policies (funders and employers) Management information tool Institutional RAE Institutional marketing tool The urge to preserve Key Perspectives Ltd

41. Policies, mandates There is a difference Both are being developed at institutional, national and even international level One is sometimes effective, the other always is Key Perspectives Ltd

42. Author readiness to comply with a mandate 81% 14% 5% Key Perspectives Ltd

43. UK policies (some mandatory) Wellcome Trust Research councils (5 of 7) Biomedical charities (Arthritis Foundation, British Heart Foundation, Cancer Research UK) University departments www.eprints.org/openaccess/policysignup/ www.sherpa.ac.uk/juliet/index.php Key Perspectives Ltd

44. Case study I: ECS, Southampton School of Electronics & Computer Science, University of Southampton Mandate early 2003 Sanctioned in the sense that assessment is based upon repository content It works Key Perspectives Ltd

45. Case study III: QUT QUT, Brisbane Mandate introduced by DVC Tom Cochrane at the beginning of 2004 Not sanctioned, but supported by vigorous and sympathetic library advocacy Key Perspectives Ltd

46. Data courtesy of Arthur Sale Key Perspectives Ltd

47. Data courtesy of Arthur Sale Key Perspectives Ltd

48. Data courtesy of Arthur Sale Key Perspectives Ltd

49. Case study II: Minho University Minho University, Braga, Portugal Repository established 2003 Mandate introduced 2005 when self-archiving rate dropped off Mandate backed by financial incentives paid to departments Key Perspectives Ltd

50. Minho University repository Mandate introduced (Data courtesy of Eloy Rodrigues) Key Perspectives Ltd

51. Mandate what? The author’s final version In the native format Because text-mining and data- mining tools need to work on OA articles They work best on XML Key Perspectives Ltd

52. What about PDF? John Wilbanks (Science Commons): “Scraping is the right word, because having to work with PDF is really scraping the bottom of the barrel.” Key Perspectives Ltd

53. What about PDF? Clifford Lynch (CNI): “PDF is evil” Key Perspectives Ltd

54. What about PDF? Peter Murray-Rust (Cambridge): “Getting to XML from PDF is like starting with the burger and trying to get back to the cow.” Key Perspectives Ltd

55. Mandate when? At acceptance for publication: the author’s final version Mandate the deposit at that point Mandate OA to full-text unless there is a compelling reason against this If there is a compelling reason, mandate OA to metadata Mandate opening of full-text at 6 months The publisher’s PDF can be added, or linked to, later Key Perspectives Ltd

56. Other management-level drivers Management information tool Institutional (especially linked to a CRIS) RAE Institutional marketing tool The urge to preserve Key Perspectives Ltd

57. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit Explicit Embedding the repository in the institution Key Perspectives Ltd

58. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit Explicit Embedding the repository in the institution Key Perspectives Ltd

59. Why researchers publish their work Key Perspectives Ltd

60. Open Access increases citations Key Perspectives Ltd Range = 36%-200% (Data: Stevan Harnad and co-workers)

61. Other impact studies Lawrence 2001 (computer science) Kurtz 2004 (astronomy) Brody & Harnad 2004 (all disciplines) Antelman 2005 (philosophy, politics, electrical & electronic engineering, mathematics) Wren 2005 Eysenbach 2006 Key Perspectives Ltd

62. Usage feedback Citation analysis tools Usage analysis tools Key Perspectives Ltd

63. Citebase Key Perspectives Ltd

65. Download timelines Key Perspectives Ltd

66. Referrers Key Perspectives Ltd

67. Links and search terms Key Perspectives Ltd

68. Every e-print tells a story… NIPS Workshop linked to this eprint from its web page Link placed on “Canonical correlation” page in Wikipedia Key Perspectives Ltd

69. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit Explicit Embedding the repository in the institution Key Perspectives Ltd

70. Publisher permissions (by journal) Key Perspectives Ltd

71. Publisher permissions 92% of journals permit self-archiving SHERPA/RoMEO list at: www.sherpa.ac.uk/romeo.php Or at: http://romeo.eprints.org/stats.php Key Perspectives Ltd

72. Versions of articles Key Perspectives Ltd

73. Digital certificate Key Perspectives Ltd

74. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit Explicit Embedding the repository in the institution Key Perspectives Ltd

75. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit (recognition) Explicit Overlay journals Bubbly! Embedding the repository in the institution Key Perspectives Ltd

76. “Self-archiving in the PhilSci Archive has given instant world-wide visibility to my work. As a result, I was invited to submit papers to refereed international conferences/journals and got them accepted.” Key Perspectives Ltd An author’s own testimony

77. Lund Virtual Medical Journal Key Perspectives Ltd

78. Drivers: author level Usage and impact data ‘Bridging’ services Resource discovery services Specialised Google Scholar Rewards Tacit Explicit Embedding the repository in the institution Key Perspectives Ltd

79. Strategic planning Articulate the value proposition Make the business case Launch the business Monitor the business Market the business Plan for growth Plan for diversification Scan the horizon, constantly Key Perspectives Ltd

80. The value proposition On behalf of the research community, a digital repository proposes to: maximise the availability … maximise the accessibility … enable the discoverability … enable increased functionality … enable longterm storage and curation … enable other potential benefits … … of scholarly research outputs at no cost to the user Key Perspectives Ltd

81. Making the business case Content types Full-text – or a glorified bibliography? Link to a CRIS? Core proposition – visibility, access, preservation Additional services Viability, sustainability, adaptability Revenue Key Perspectives Ltd

82. Key factors Viability – can we make this business happen? Sustainability – can we keep this business going? Adaptability – can we future-proof the business? Key Perspectives Ltd

83. Viability Is it feasible to launch this? Project team Pilot project Assessment Cash costs Other resourcing Key Perspectives Ltd

84. Sustainability Project-to-service issues Resourcing requirements KPIs Growth Business planning The effects of success Workflow: quality/quantity trade-off Revenue Key Perspectives Ltd

85. Adaptability Can we build in flexibility? Can we build in resilience? How will we monitor for future developments that might be significant? What new stakeholders might appear? What is the development potential? How will we monitor performance? Key Perspectives Ltd

86. Challenges Funding:X Integrating with existing workflow:X Content recruitment: + Faculty engagement: + Key Perspectives Ltd

87. Results of assessments Visibility and access:X Preservation:X Content recruitment: + Educating faculty on OA: + Educating faculty on copyright: + Educating faculty on scholcomm: + Key Perspectives Ltd

88. Thank you for listening aswan@keyperspectives.co.uk www.keyperspectives.co.uk www.keyperspectives.com Key Perspectives Ltd