1. CRIS + Open Access Report from the 2nd euroCRIS seminar, Brussels, 2004 Anne Asserson University of Bergen

2. Budapest, November 2004Anne Asserson, University of Bergen2 2nd Seminar, Palace of the Academies, Brussels 20-21 September 2004 CRIS + Open Access = The Route to Research Knowledge on the GRID Information exchange through institutional repositories and the European Research Area (ERA)

3. Budapest, November 2004Anne Asserson, University of Bergen3 Background OA (Open Access) and GRIDs are two of the hottest topics in IT at the moment. Both are extremely relevant to CRISs (Current Research Information Systems) euroCRIS took this opportunity to bring together a group of experts in all aspects of the subject area to share experiences and produce both insight and a way forward.

4. Budapest, November 2004Anne Asserson, University of Bergen4 Background –ESF –EARMA –ALLEA –CODATA –ERCIM And, of course, the EC

5. Budapest, November 2004Anne Asserson, University of Bergen5 We believe the topics has an interest to our strategic partners as follows: (1)ESF: publication quality of scholarly work in Europe; (2)EARMA: evaluation of research, league tables, bibliometrics and scientometrics; (3)CODATA: publishing metadata standards and the interfacing to original scientific datasets; (4)ALLEA: publishing through and for learned societies; (5)ERCIM: IT to support the process, intersection with the DELOS network and associated projects

6. Budapest, November 2004Anne Asserson, University of Bergen6 The rationale behind the OA + CRIS will open access publishing be acceptable to researchers to make their work and themselves known, and to encourage scholarly dialogue; will open access publishing be acceptable to research evaluators forming ‘league tables’ of research organisations; will the open access archives be –personal (self-archiving), –institutional (knowledge of an organisation) or –maintained by a scientific community (a learned society or a publisher acting for the community) will the open access material be available toll-free or charged; will reviewing be continued as now will access be through websearch and harvesting or through controlled metadata with thesauri;

7. Budapest, November 2004Anne Asserson, University of Bergen7 The seminar addressed the relationship between CRISs (Current Research Information Systems) and OA (Open Access) Systems; bringing together systems for managing R&D with systems for providing open access to scholarly publishing – the major visible output of R&D – on the emerging European GRIDs infrastructure. The debate over OA is very active with ‘green’ (institutional repository self-archiving) and ‘gold’ (author / institution pays publishing) as competing but also complementary processes. The major publishers are experimenting with ‘gold’ services while ‘green’ institutional repositories are growing fast.

8. Budapest, November 2004Anne Asserson, University of Bergen8 Key discussion points arising from the sessions Open Access (OA) and the threat to Publishers Peer Review and Evaluation The Scientific Process as a Workflow CRIS, OA and GRIDs Conclusions Roadmap for the partners and ……

9. Budapest, November 2004Anne Asserson, University of Bergen9 Open Access CRIS + Open Access and GRID The Scientific Publishing process The Value Chain Options of Open Access What does Open Access offer The Way forward Recommendation Issues for discussion

10. Budapest, November 2004Anne Asserson, University of Bergen10 Open Access In whose interest? Author –Wider access, citation –But maybe less prestigious than traditional route –Effort to deposit Institution –Collection of intellectual property –Check on IPR/patenting –Quality of publication (reputation) Reader –free and electronic ‘scientific freedom versus institutional management’

11. Budapest, November 2004Anne Asserson, University of Bergen11 Open Access The threat to Publishers The cost of library subscriptions rises inexorably and faster than inflation; Libraries are forced to cancel journal subscriptions However, researchers have two potentially conflicting requirements: –to have their work disseminated as widely as possible (which favours OA) and –to have their work published through channels with prestige (which favours conventional or ‘OA gold’ publishing).

12. Budapest, November 2004Anne Asserson, University of Bergen12 Open Access Barriers Copyright –Licence to use / publish Peer review Journal colleges Learned societies Free annotation

13. Budapest, November 2004Anne Asserson, University of Bergen13 Open Access Repositories Subject based E.g. ArXiv –Community building Institutional –IPR –Curation –Public relations

14. Budapest, November 2004Anne Asserson, University of Bergen14 Open Access Publication Quality ISI and its use –Problems by area (e.g. social science) –Problems by coverage within area Other approaches –citeseer

15. Budapest, November 2004Anne Asserson, University of Bergen15 Open Access CRIS Linkage CRIS + OA –CRIS associative scientific management data –Access to R&D primary data –OSS (Open Source Software) –DC (Dublin Core) and its problems, not formalized enough –Formalised DC to form bridge

16. Budapest, November 2004Anne Asserson, University of Bergen16 Open Access Metadata Fundamentally important –E.g. for OAI-PMH, Open Archives Initiative Protocol for Metadata Harvesting Dublin Core –Simple –Qualified –Formal Link to the Semantic Web/the GRID Link to CRIS

17. Budapest, November 2004Anne Asserson, University of Bergen17 Open Acess Access Distributed query access –E.g. Z39.50 Harvesting to ‘catalog’ then query on catalog and link to object of interest –E.g. Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH) plus query system –(and in CRIS world ERGO)

18. Budapest, November 2004Anne Asserson, University of Bergen18 CRIS + Open Access and GRID New Technologies GRIDS –How to use GRID for CRIS and Open Access –High capacity network –Massive compute power –Massive data stores / databases

19. Budapest, November 2004Anne Asserson, University of Bergen19 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process The Value Chain Options of Open Access What does Open Access offer The Way forward Recommendation Issues for discussion

20. Budapest, November 2004Anne Asserson, University of Bergen20 CRIS + Open Access and GRID How can a CRIS facilitate OA? GRIDs, especially through the NGG (Next Generation GRID) Reports ( www.cordis.lu/ist/grids ) has emerged as a vision for a European IT ‘surface’ now being implemented progressively.www.cordis.lu/ist/grids CRISs provide both a context for evaluation of - and understanding the background to – scholarly publication. CRISs also provide a management framework for R&D in institutions from funding agencies through national laboratories to universities, as well as a mechanism for interoperating research and development information

21. Budapest, November 2004Anne Asserson, University of Bergen21 CRIS + Open Access and GRID CRIS+OA= The Route to Research Knowledge on the GRID The GRID OA Repositories (the knowledge) CRISs (the management tool)

22. Budapest, November 2004Anne Asserson, University of Bergen22 CRIS + Open Access and GRID CRIS+OA= The Route to Research Knowledge on the GRID CRIS: management of R&D activity through information –better decisions –better technology transfer / innovation / exploitation Open Access: open access to R&D knowledge –easy knowledge availability –Improved R&D quality GRID: A universal computation, information and knowledge surface –The basis for the future of Europe

23. Budapest, November 2004Anne Asserson, University of Bergen23 CRIS + Open Access and GRID CRIS + OA Linkage CRIS + OA –CRIS associative scientific management data –R&D primary data –OSS –DC and its problems –Formalised DC to form bridge

24. Budapest, November 2004Anne Asserson, University of Bergen24 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process Options of Open Access What does Open Access offer The Way forward Recommendation Issues for discussion

25. Budapest, November 2004Anne Asserson, University of Bergen25 The Scientific Publishing process Science as a process within a Grids environment Submit proposal Prepare experiment Generate results Analyse results Write report Provenance metadata + access conditions data description +++ data location Related material Collecting the metadata can then become part of the experimental support environment CRIS DAIR ( Matthews, Brussels 2004 )

26. Budapest, November 2004Anne Asserson, University of Bergen26 The Scientific Publishing process Will Researchers Accept? Traditional freedom of researchers Institution might have different interest –IPR – exploitation –Quality - reputation Retention of copyright Workflow in institution –researcher has to trade freedom for institutional management objectives

27. Budapest, November 2004Anne Asserson, University of Bergen27 The Scientific Publishing process Peer review Both ‘gold’ and ‘green’ maintain existing peer review mechanisms. However, there is evidence that the system is not working optimally; there is the well-known pattern of one good, one bad and one neutral review from three referees, making it difficult to decide on publication. There was discussion of ‘free annotation’ peer review – possible given widely-used OA institutional repositories - but this found no favour and the present ‘peer review college’ system was preferred – at least until a better process is found. On evaluation there was much concern that funding organisations might utilise the ISI system in an unsophisticated way – e.g. to partition funding among institutions - when it is known to have uneven coverage both across and within disciplines.

28. Budapest, November 2004Anne Asserson, University of Bergen28 The Scientific Publishing process Citation There was interest in a European equivalent of ISI which could correct these imbalances. There was support for automated citation systems over open access publications as pioneered by citebase/citeseer. It was further noted that accesses to OA publications are measured conveniently and provide some evidence of quality. The key role played by CERIF-compliant CRISs in linking publications to persons, organisational units, projects, events, facilities, equipment, patents and products was recognised.

29. Budapest, November 2004Anne Asserson, University of Bergen29 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process The Value Chain Options and Offerings of Open Access The Way forward Recommendation Issues for discussion

30. Budapest, November 2004Anne Asserson, University of Bergen30 The Value Chain Concept introduced by Hans Roosendaal at University of University A method to describe the publishing process

31. Budapest, November 2004Anne Asserson, University of Bergen31 Value chain Scientific Publication 1 2 3 4 5 6 7 8 1: 2: 3: 4: 5: 6: 7: 8: author publisher reviewer publisher agent university library reader

32. Budapest, November 2004Anne Asserson, University of Bergen32 Value Chain Total availability 1 8 1: 2: 3: 4: 5: 6: 7: 8: author publisher reviewer publisher agent university library reader

33. Budapest, November 2004Anne Asserson, University of Bergen33 Value Chain Use 1 2 3 4 8 1: 2: 3: 4: 5: 6: 7: 8: author publisher reviewer publisher agent university library reader

34. Budapest, November 2004Anne Asserson, University of Bergen34 Availability 1 6 3 6 8 1: 2: 3: 4: 5: 6: 7: 8: author publisher reviewer publisher agent university library reader

35. Budapest, November 2004Anne Asserson, University of Bergen35 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process Options and Offerings of Open Access The Way forward Recommendation from the seminar Roadmap for the partners Issues for discussion

36. Budapest, November 2004Anne Asserson, University of Bergen36 What does Open Access offer? Gold and Green ‘gold’ : via commercial publishers –e-journals, work free at point of delivery –Author (or author institution) pays to publish –Copyright transferred but author right to ‘self archive’ ‘green’ : via OA repositories –Author deposits work in OA repository In parallel with ‘gold’ or conventional publishing (paper or e-) Only in repository –Copyright retained by author

37. Budapest, November 2004Anne Asserson, University of Bergen37 What does Open Access offer? Gold and Green Change the Business Model GOLD –Author creates the work and sends to journalcharge –Peer review Conventional, e- or paperno charge –Published by placing in proprietary OA repository (each publisher /journal different) no charge –Accessed in proprietary repository (each publisher /journal different) no charge

38. Budapest, November 2004Anne Asserson, University of Bergen38 What does Open Access offer? Gold and Green Change the Business Model GREEN –Author creates the work and deposits in institutional repository no charge –Peer review Online by using annotation no charge Learned Societies kitemark charged –Published by harvesting repositories directly on query or via subject- based repository catalogues no charge –but repository has to be set up/maintained cost

39. Budapest, November 2004Anne Asserson, University of Bergen39 What does Open Access offer? Gold and Green And just to confuse, a different version of GREEN OA repositories but NOT institutional Based on subject / community –E.g. ArXiv

40. Budapest, November 2004Anne Asserson, University of Bergen40 What does Open Access offer? Gold and Green A little history –Original idea of OA –Budapest OAI Declaration 200202 –Bethesda Declaration 200306 –Berlin Declaration 200310 –OECD Declaration 200401

41. Budapest, November 2004Anne Asserson, University of Bergen41 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process Options of Open Access What does Open Access offer? The Way forward Recommendation Issues for discussion

42. Budapest, November 2004Anne Asserson, University of Bergen42 The Way Forward ‘green OA’ –Does not prejudice any business model It can exist alongside any of them –Provides a record of organisational IP –Problems Copyright –But now 50% - 80% of publishers allow Peer review –Could pay learned societies (kitemark) –Or use annotation

43. Budapest, November 2004Anne Asserson, University of Bergen43 The Way Forward OAI: Open Archives Initiative Provides a protocol for metadata harvesting (OAI-PMH) Harvests metadata from repositories to provide catalogs Protocol messages in XML –Header –Metadata (in DC) describing resource –About (e.g. rights, provenance)

44. Budapest, November 2004Anne Asserson, University of Bergen44 Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH) oai:arXiv.org:cs/0112017 2002-02-28 cs math Using Structural Metadata to Localize Experience of Digital Content Dushay, Naomi Digital Libraries With the increasing technical sophistication of both information consumers and providers, there is increasing demand for more meaningful experiences of digital information. We present a framework that separates digital object experience, or rendering, from digital object storage and manipulation, so the rendering can be tailored to particular communities of users. Comment: 23 pages including 2 appendices, 8 figures 2001-12-14 e-print http://arXiv.org/abs/cs/0112017 http://the.oa.org oai:r2.org:klik001 2002-01-01 http://www.openarchives.org/OAI/2.0/oai_dc/

45. Budapest, November 2004Anne Asserson, University of Bergen45 The Way Forward Metadata –DC too informal – machine readable not machine understandable –Even ‘qualified’ DC –Proposal for ‘formalised’ DC (1999, 2004)

46. Budapest, November 2004Anne Asserson, University of Bergen46 The Way Forward (DC compared with) Formalised DC A Distributed Architecture to Provide Uniform Access to Pre-Existing Independent, Heterogeneous Information Systems en A Distributed Architecture to Provide Uniform Access to Pre-Existing Independent, Heterogeneous Information Systems Naldi F, Jeffery K G, Bordogna G, Lay J O, Vannini-Parenti I author Naldi F author Jeffery K G author Bordogna G author Lay J O author Vannini- Parenti I

47. Budapest, November 2004Anne Asserson, University of Bergen47 The Way Forward (DC compared with) Formalised DC Current Research Information Systems; legacy; heterogeneous; distributed; protocol; communications; data; exchange en RALClassification Current Research Information Systems en UKThesaurus legacy; heterogeneous; distributed; protocol; communications; data; exchange A system named EXIRPTS has been built which demonstrates access over distributed multilingual information systems of R&D projects. The system resolves problems of resource location and utilises a catalog technique for metadata which allows the end-user to have a homogenous view over heterogeneous information en A system named EXIRPTS has been built which demonstrates access over distributed multilingual information systems of R&D projects. The system resolves problems of resource location and utilises a catalog technique for metadata which allows the end-user to have a homogenous view over heterogeneous information

48. Budapest, November 2004Anne Asserson, University of Bergen48 The Way Forward (DC compared with) Formalised DC Rutherford Appleton Laboratory, Chilton, Didcot, Oxfordshire, OX11 0QX UK publisher Rutherford Appleton Laboratory, Chilton, Didcot, Oxfordshire, OX11 0QX UK Wright, L, Daniels,T contributor Wright, L proofreader Daniels, T 1992 1988-1991 1992 Technical Report RALLibrary en TechnicalReport

49. Budapest, November 2004Anne Asserson, University of Bergen49 The Way Forward (DC compared with) Formalised DC Word2 (note handled by conventional MIME typing) RAL 92-003 RALLibrary RAL92-003 referencelist [NaJeBoLaVa92] [null] Note: done using relationships between resources referenced by UniqueId [JeLaMiZaNaVa89] preliminary investigation [JeLaMiZaNaVa89]

50. Budapest, November 2004Anne Asserson, University of Bergen50 The Way Forward (DC compared with) Formalised DC Europe,1983-1991 LatLong 10W35N-30E80N 5degrees years [1983 1991] Copyright Rutherford Appleton Laboratory 1992 (note handled separately with access, privacy security etc)

51. Budapest, November 2004Anne Asserson, University of Bergen51 The Way Forward Extensions: Rights WHERE is extended with sub-elements as follows: RAL92-003

52. Budapest, November 2004Anne Asserson, University of Bergen52 A Way Forward Extension: Quality Assessment RAL92-003 Note: this allows multiple annotations where is extended with sub-elements as follows: and may be extended with the additional subfield for digital signature.

53. Budapest, November 2004Anne Asserson, University of Bergen53 A Way Forward Extension: Classification RAL92-003 Where may be ISI SCI (scientific citation index) or Google links to the page or anything else.

54. Budapest, November 2004Anne Asserson, University of Bergen54 A Way Forward Publications UniqueId PersonOrgUnit Security Privacy AccessLevel Charge Restrictive Annotation Classification Quality Assessment OrgUnit UniqueId Domain of CERIF Person Project ResourceIdentifier Subject Keywords Description Resource Type Coverage Temporal Coverage Spatial Title Descriptive Navigational

55. Budapest, November 2004Anne Asserson, University of Bergen55 Background for the September Seminar Open Access CRIS + Open Access and the GRID The Scientific Publishing Process Options of Open Access What does Open Access offer Recommendations Issues for Discussion

56. Budapest, November 2004Anne Asserson, University of Bergen56 Recommendations Metadata the need to improve quantity (detail) and quality of metadata to assist in retrieving relevant OA scholarly publications; a similar need for quality metadata for primary scientific data and associated OSS (Open source software); the need to find consensus on a scientific workflow and – within it – a publications workflow with incremental metadata input at appropriate stages; ;

57. Budapest, November 2004Anne Asserson, University of Bergen57 Recommendations The Scientific Workflow the partners will assist their communities in setting up scientific workflows with incremental metadata collection as an integral part of the process in order to improve the metadata quality associated with scientific products; There was interest in a European equivalent of ISI which could correct these imbalances. There was support for automated citation systems over open access publications as pioneered by citebase/citeseer. It was further noted that accesses to OA publications are measured conveniently and provide some evidence of quality.

58. Budapest, November 2004Anne Asserson, University of Bergen58 Recommendation the GRID the partners will encourage their communities to utilise GRIDs as the general IT architectural surface to assist with interoperable and economic realisations of CRIS + OA the partners will encourage the community to utilise GRIDs as the IT surface to assist with CRIS + OA the need to utilise GRIDs to improve the CRIS+OA environment with ready access to information, computation and primary scientific data in an easy-to-use environment

59. Budapest, November 2004Anne Asserson, University of Bergen59 Recommendation GREEN and GOLD The need to push for ‘pure green’ institutional OA repositories because they do not impact publishers yet make publications freely available and because they encourage institutions to curate their intellectual property; the need to evaluate further the true costs and benefits of ‘gold’ publishing; at present not all publisher charges are known and the potential impact in a published ‘gold’ journal may be greater than in a ‘green’ institutional repository with or without conventional publishing;

60. Budapest, November 2004Anne Asserson, University of Bergen60 Recommendations CERIF The key role played by CERIF-compliant CRISs in linking publications to persons, organisational units, projects, events, facilities, equipment, patents and products was recognised. the partners will encourage the community to utilise CERIF – and particularly CERIF extended with formalised Dublin Core for OA publications – in order to maximise interoperability of CRISs in Europe;

61. Budapest, November 2004Anne Asserson, University of Bergen61 Recommendations Seminar The participants concluded that the seminar topic was critically important to Europe and the ERA and that we should continue to cooperate to push forward the infrastructure to assure the future of Europe led by R&D supported by CRISs including linking them with OA institutional repositories. the strategic partners will create opportunities for cooperative working to further their joint interests and improve annual series will be continued addressing topics of importance to the research community in Europe;

62. Budapest, November 2004Anne Asserson, University of Bergen62 Background for the seminar Open Access CRIS + Open Access and GRID The Scientific Publishing process Options of Open Access What does Open Access offer The Way forward Recommendation from the seminar Issues for discussion

63. Budapest, November 2004Anne Asserson, University of Bergen63 Key discussion points Open Access (OA) and the threat to Publishers Peer Review and Evaluation The Scientific Process as a Workflow CRIS, OA and GRIDs Roadmap for the partners