Institutional Repositories – background, issues and strategic considerations “机构库”- 背景,现状,及思考 Wang, Xuemao 王雪茅 Johns Hopkins University 约翰 • 霍普金斯大学 xmw@jhu.edu Advanced Digital Library Seminar, Beijing, Aug. 14-17, 2006 2018年9月11日星期二

Today’s Agenda 今天日程 Introduction My presentation Basics of IRs 基本介绍 Issues about IRs 现况及问题 Importance of IRs 重要性 Interactive discussion! – within or after my presentation 互动式讨论 I like questions!! But be prepared I may not have answers for you.欢迎提问, 任何问题 (但我可能没有答案!)

What is IR? A web-based Archive database (Web 基础之上的数据库) Scholarly material- collects, stores and disseminates (与学术研究有关的资料: 选择, 存储, 传送) Institutionally defined - as opposed to a subject-based repository (机构范围-非主题范围) Cumulative and perpetual, long-term preservation (集累性, 永久性, 长期保存性) Open and interoperable (公开/开放性与互联性) (e.g. using OAI-compliant software) Short version: A digital repository system that collects, distributes, manages and preserves digital information. Long version: “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 …as well as organization and access or distribution….A key part of the services that comprise an institutional repository is the management of technological changes….An institutional repository is not simply a fixed set of software and hardware.” --Clifford A. Lynch

Types of Repository Repositories may be limited to: IRs 之种类 Vertical 直线性 Subject (e.g., physics)主题类 Horizontal 平行性 Consortium (e.g., Colorado Digital Project) “协调委员会” Institution (e.g., MIT) 大学 National 全国型 International 国际型

Crisis - Global Journal Problem 全球学术期刊危机 Growing dissatisfaction with the current model 对 “学术交流” 现阶段模式的不满 Institution cannot afford to purchase access to all the information that all of its researchers require 学术机构不能负担学术研究需要的刊物 Site-licenses and consortia deals have helped, but mainly in the richest countries “联合购买” 仅限于少数国家 Many commercial publishers charge extra for online access – so causing more pressure on budgets 出版商另加额外收费于 “电子版” Note from David Prosser • SPARC Europe Director (david.prosser@bodley.ox.ac.uk)

Just to give you a little clue to the results of the monopoly power of publishers, here’s a diagram updated yearly by the ARL.

Opportunity 机会 Environment changed: 环境之变迁 Scholarly publication generated and often published in digital form “学术交流” 越趋于数字化 Courses and other teaching materials in digital 学术研究与教学更趋数字化 Recent announcement of mass digitization projects (such as Google)大规模图书馆馆藏数字化 Unit costs of digital storage decreases ~40% annually 数字存储越趋便易 Open source development in digital repositories (e.g. LOCKSS, DSpace, Fedora, etc.) 开源软件普及 Internet2-like networks in development in many nations 高速互联网 More search/discovery engines (e.g. Google Scholar) 更多的主题搜索软件 Note from Michael A. Keller Stanford University More note from Joan D. Krizack May 4, 2004 j.krizack@neu.edu

Two Big Drivers 两大重要驱动因素 Scholarly Communication (Chinese translation?) “学术交流” 模式 Open Access (Chinese translation?) “开放存取” 模式

Functions of Scholarly Communication 学术交流四大功能 Scholarly publishing comprises four functions: ARCHIVING Preserving research for future use 学术资料保存 AWARENESS Assuring accessibility of research 学术影响扩展 CERTIFICATION Certifying the quality/validity of the research 学术价值核证 REGISTRATION Establishing intellectual Priority 知识产权注册 Source: David Prosser, SPARC Europe Director

How IRs are related to Scholarly Communication IRs 与 “学术交流” 之关系 ARCHIVING Preserving research for future use 学术资料保存 AWARENESS Assuring accessibility of research 学术影响扩展 CERTIFICATION Certifying the quality/validity of the research 学术价值核证 REGISTRATION Establishing intellectual Priority 知识产权注册 Institutional repositories supply basic step of initial registration 支持 “知识产权注册” Accommodate increased volume of research output 易容纳激增的学术研究产出 Source: David Prosser, SPARC Europe Director

IRs 与 “学术交流” 之关系 ARCHIVING Preserving research for future use 学术资料保存 AWARENESS Assuring accessibility of research 学术影响扩展 CERTIFICATION Certifying the quality/validity of the research 学术价值核证 REGISTRATION Establishing intellectual Priority 知识产权注册 Certification necessary to validate registration 学术价值核证是重要一环 Independent certification carried out by open access journals in same way as peer review 核证使用 “开放存取” 与 “专家审核” 类似 Source: David Prosser, SPARC Europe Director

IRs 与 “学术交流” 之关系 ARCHIVING Preserving research for future use 学术资料保存 AWARENESS Assuring accessibility of research 学术影响扩展 CERTIFICATION Certifying the quality/validity of the research 学术价值核证 REGISTRATION Establishing intellectual Priority 知识产权注册 Awareness services enabled by OAI-compliance & interoperability OAI 扩展 “学术影响” Search engines index the metadata harvested from federated repositories 原数据自动获取更易于扩展 “学术影响” Source: David Prosser, SPARC Europe Director

IRs 与 “学术交流” 之关系 ARCHIVING Preserving research for future use 学术资料保存 AWARENESS Assuring accessibility of research 学术影响扩展 CERTIFICATION Certifying the quality/validity of the research 学术价值核证 REGISTRATION Establishing intellectual Priority 知识产权注册 Librarians—rather than journal publishers—in charge of digital archiving and preservation 图书馆员比出版商更擅长于 “保存数字资源” Source: David Prosser, SPARC Europe Director

Open Access “开放存取” 文献之特点 Open-Access (OA) literature is: Digital 数字型 Online 在线型 Free of charge for everyone with an internet connection 自由获取 Free of most copyright and licensing restrictions 不受版权等限制 What is open access? The short definition of "open access" is free online access. But there are several important nuances to elucidate. First, while the access is free of charge to those who already have an internet connection, it is compatible with priced access to enhanced or print editions of the same texts. Second, making the works accessible without charge removes price barriers to access, the most important barrier for most people. But open access also requires removing the permission barriers to access and use, for example, copyright and licensing restrictions that require permission before one may copy, download, store, redistribute, crawl, or link to the texts. Third, one way to remove permission barriers is to put the work into the public domain. But another way that's just as effective, and somewhat more attractive to authors, is for the copyright holder waive some rights and retain others, consenting to open access while reserving the right to block the distribution of mangled or misattributed copies. Promoting Open Access in the Humanities Peter Suber, Philosophy Department, Earlham College

Open Access Movement “开放存取” 发展 Researchers writing articles for impact, not for money 研究文献发表不是为了获利 Opportunities created by the internet 互联网带来的机遇: 便易, 方便的存, 取, 送 Reduces cost of publication Increases scope of distribution Mess storage Journal pricing crisis 学术期刊价格危机 Harder for Humanities vs. STM (Science, Technology and Medicine) 困难在于 “人文” 期刊

Why Libraries for IR? 图书馆与 IR Mission 图书馆宗旨 The mission of the Sheridan Libraries is to advance research and teaching at The Johns Hopkins University by providing information resources, instruction, and services. Research and learning behaviors are changing in digital age 学习研究行为进入数字时代 A major challenge for research libraries is to find ways of continuing to create value within the research and learning value chain 研究型图书馆必须找到新的位置 Expertise 图书馆的长处 Large-scale, professional collection management 大型馆藏经验, Cataloging/metadata (i.e. discovery and access)熟悉馆藏与编目 Long-term preservation 文献保存经验 The mission of the Sheridan Libraries is to advance research and teaching at The Johns Hopkins University by providing information resources, instruction, and services.

IR Stakeholders IRs “利益相关人” Libraries 图书馆 Academic institutions 学术机构 Organizations 组织 Governments 政府 Researchers 研究 Students 学生 Publishers and distributors 出版与供应商

Interoperability Standards Source: David Prosser • SPARC Europe Director Contents vs. Services Author Content Services Reader Institutional Repositories Disciplinary Peer-to-peer Interoperability Standards Registration e.g.: by institutions Certification e.g.: peer review Awareness e.g.: search tools, linking Archiving e.g.: by library Open repositories lessen or eliminate the content monopoly of journals. Societies, publishers, institutions, new entrants are service providers.

Sample IR Software and Initiative 实例 Eprints.org – Southampton, UK (www.eprints.org) Open source, web-based, large and growing install base around the world. D-Space – MIT, USA Repository (www.dspace.org) Open source, web-based, large and growing install base around the world CDSWare (CDS Invenio) – CERN, EU document server (cdsware.cern.ch) Europe based document server software consortium SHERPA – CURL and JISC, UK (www.sherpa.ac.uk) UK based scholarly communication consortium DARE – The Netherlands Digital academic library repository SPARC US and SPARC Europe – (www.arl.org/sparc/index.html) (www.sparceurope.org) Source from David Prosser • SPARC Europe Director (david.prosser@bodley.ox.ac.uk) SHERPA is investigating issues in the future of scholarly communication. It is developing open-access institutional repositories in a number of research universities to facilitate the rapid and efficient worldwide dissemination of research.

Some Popular International Players Australian National University Universite de Montreal Aalborg University LMU Munchen Humboldt-Universitat Utrecht University Lund Universitet CERN National University of Ireland University of Bath University of Glasgow University of Nottingham California Digital Library Caltech MIT Academy of Sciences, Belarus

Some Service Providers Arc NARA Search engine Callima Scientifically search engine citebaseSearch Search engine (with citation ranking) CYCLADES Search engine DP9 OAI gateway between Crawler and search engine iCite Citation indexing system covering physics journals my.OAI Search engine for matadata database in OAI NCSTRL Unified access to archives in computer sciences OAIster Search engine by U Michigan Perseus Search engine in humanities Public Knowledge Discipline-specific OAI metadata harvesting, U of BC Scirus Elsevier Science scientific search engine TORII Unified access to various open archives (physics and computer Science), Italy Sheet Music Consortium UCLA, and others like JHU http://www.openarchives.org/service/listproviders.html

Some Commercial Tools 商用软件 Digital Commons@ by ProQuest, UMI bePress founded by Berkeley professors Digitool by Ex Libris DSpace by MIT and HP Open Repository by BioMed Central (fee based services build on DSpace tools)

DSpace is… An open source digital asset management system 开源数字资产管理系统 A technology platform for Institutional Repositories IR 技术平台 A federation of digital repositories across multiple academic research institutions 协调共享 A production service of the MIT Libraries to its local research community MIT索头

DSpace Open source dynamic digital repository Chart from MacKenzie Smith, Associate Director for Technology, MIT Libraries Source: MacKenzie Smith, Associate Director for Technology, MIT Libraries Visual Explanations by Dynamic Diagrams

DSpace Federation 协调共享 What? Emerging community of DSpace users/installations用户/公开 Open source software (OSS) community 开源社区 Who? Research-generating organizations 于研究有关的机构 (e.g. libraries, government agencies, museums, archives) world-wide Overlapping/complementary research interests Non-government organizations (NGOs) and industry 非政府机构

Vision for the DSpace Federation NGOs User sponsored development resources Hong Kong U. Sci. & Tech U. Toronto Independent developers /hackers U. Amsterdam ANU Related Initiatives Related Initiatives Corporations MIT U. Cambridge DSpace Installations U. Rochester DSpace OSS Community DSpace software BioMed Central HP Government agencies Service providers using DSpace/ DSpace services user base Industry sponsored development resources Julie Walker, MIT Libraries OCLC Consulting firm Service Providers /Value-Added Resellers Hardware co. IT Services co. Libraries services org. DSpace Federation Internet co. Libraries Source: Julie Walker, MIT Libraries

One Important Standard OA 重要标准 OAI (Open Archive Initiative) – Chinese? Two OA’s 两个OA One is for Open Access (for contents) 开放存取 Another is for Open Archive Initiative OAI (Technology Framework) 存取技术标准 http://www.openarchives.org/

Origins of the OAI OAL原始定义 “The Open Archives Initiative has been set up to create a forum 论坛 to discuss and solve matters of interoperability 互通性 between electronic preprint 电子预印本 solutions, as a way to promote their global acceptance. “ (Paul Ginsparg, Rick Luce & Herbert Van de Sompel - 1999)

What is the OAI now? OAL 现在定义 “The OAI develops and promotes interoperability standards 互通性技术标准 that aim to facilitate the efficient dissemination 有效传送 of content.” (from OAI mission statement) Technological framework around OAI-PMH protocol Application independent

Metadata harvested by service OAI and IRs Service layer R1 R2 Search service User R3 Instead we insert a “service layer”. In this example a search service harvests metadata from all repositories and presents unified “portal” to user. R4 Source: Simeon Warner, Cornell University Metadata harvested by service

IR Issues 相关问题 Creators’ trust to digital repositories 原作者的信任度 Authentication of digital objects 公证, 认证 Authorization of readers/users 授权 Impediment to formal publication 对正式出版物影响 Intellectual property issues 知识产权 Perceived quality 质量 Challenge to publishers 对出版商挑战 Work load to faculty and librarian 教研与图书馆员额外负担 Sustainability 持久性 Digital preservation 保存性

What does IR mean to you? IR 之影响 Take University Libraries as example Provide cost-effective single repository for institutional scholar communication output, e.g. “gray literatures “灰色文献” Increase domestic and international prestige and visibility 国际国内声誉 Research base or test bed for information polices, standards and platforms 研究与技术基地 Foster regional or national federation 促进协作, 协调 Promote Open Access in China 促进 “开放存取” Long term digitization preservation 长期保存 Inter-exchange information and technology with others 信息与技术交换

Question/Discussion 提问与讨论 What I like to learn from you: What are your thoughts/concerns of IRs in general? 你对IR 的看法与想法 Talk about any established, proposed or on-going IR development/projects in your organization or others you know 举例谈谈你知道的已建立, 正在建设中或筹建中的IR项目 What could be issues (especially unique issues) about IR in China now and future? 谈谈你认为具有“中国国情” 的IR问题, 建议 Any others things related today’s discussion 其他相关问题

THANK YOU! 谢谢 xmw@jhu.edu