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					    the OAI and a disaggregated scholarly
           communication system




              Universiteit Gent – 15 Oktober 2002


Herbert Van de Sompel
Los Alamos National Laboratory – Research Library
the Open Archives Initiative
http://www.openarchives.org
                        core motivation

• libraries are there to faciliate access to
scholarly information


                   we were trying hard, but ...




herbert van de sompel
                        library position


                                      optimizing the output



                        P       D          L
           A            U       IS         I            R
                        B                  B



                        the input is far from optimal



herbert van de sompel
                        the journal system

• serials crisis:         increasing journal prices limit, rather
than broaden, access to scholarly research
• IP drain: faculty signs away copyright
• publication delay: journal system can not cope with
increasing volume of scholarly output
• criticism of peer-review:               suppresses ideas,
outcome criticized
• inertia: system is self-stabilizing



herbert van de sompel
                        preprint systems

• xxx e-print archive
     (Physics - 1991 - Los Alamos - Ginsparg)
• RePEc
     (Economy - Surrey U - Krichel)
• NCSTRL
     (Computer Science - Cornell U - Lagoze)
• NDLTD
     (Theses - Virginia Tech - Fox)
• CogPrints
     (Cognitive Sciences - Southampton U - Harnad)

herbert van de sompel
                        core motivation

• libraries are there to faciliate access to
scholarly information


                   we were trying hard, but ...

        could there be other (better) ways?




herbert van de sompel
               alternative library position?


    capture & share the input… using the global network




                                ?
                        L
           A            I                        R
                        B




herbert van de sompel
The Open Archives Initiative has been set up
to create a forum to discuss and solve matters
of interoperability between electronic
preprint solutions, as a way to promote their
global acceptance.
Paul Ginsparg, Rick Luce & Herbert Van de Sompel




herbert van de sompel
         Luce * Van de Sompel * Ginsparg




herbert van de sompel
               economy




               scholarly
technology                   sociology
             communication




                 law
                     economy



       establish a technological basis that

technology                                    sociology
       allows addressing the other issues.




                        law
systems for scholarly communication
                        free our minds

 • forget about who has been doing what and
 how in the existing system;
 • let’s look at what has to be done in a
 system for scholarly communication




herbert van de sompel
    systems for scholarly communication

registration            establishing intellectual priority

certification           certifying quality/validity of research

awareness               ensuring accessibility of research

archiving               preserving research for future use




herbert van de sompel       {Roosendaal & Geurts}
    systems for scholarly communication

registration            establishing intellectual priority

certification           certifying quality/validity of research

awareness               ensuring accessibility of research

archiving               preserving research for future use




rewarding               evaluating & rewarding performance


herbert van de sompel       {Roosendaal & Geurts}
    systems for scholarly communication


            awareness      certification   rewarding



A                          value chain                 R


            registration    archiving



herbert van de sompel
                             preprint systems

registration            yes

certification           no

awareness               yes

archiving               no




rewarding               no


herbert van de sompel
                             preprint systems

registration            yes

certification           no

awareness               yes

archiving               no




rewarding               no


herbert van de sompel
• the journal system integrates all functions
• preprint systems suggest:
  • the feasibility of a disaggregated system
  for scholarly communication
  • the possibility of preprints being the
  starting point of a new value chain in which
  the raw material -- the non-certified
  preprint -- is in open access
  • other functions being fullfilled in a
  discrete manner, by different networked
  parties
                        disaggregated system

 • Lower prices by increasing cost efficiency:
    – decoupling value chain forces market
      efficiency of individual links
    – introduces competition throughout chain
 • Reveal that academy contributes most of the
   value
    – academic labor & institutional investment
      drives content, certification, and archiving



herbert van de sompel
               disaggregated system: how?
 • content providers: discipline-specific eprint
   servers, institutional repositories, open access
   peer-to-peer research repositories, …
 • service providers:
      • value-added services that provide
        certification, awareness, and archiving,
        rewarding functions
      • current agents of these functions (e.g.,
        societies) can operate in disaggregated model
      • new entrants in the system possible
      • various business models possible
herbert van de sompel
Paul Ginsparg
                             OAI’s role


Achieve interoperability by ensuring that
information about the fulfillment of the
functions:
• can travel across the system
• can be shared by nodes of the system

                        metadata


herbert van de sompel
                        OAI’s role
• so far: harvesting of descriptive metadata
• but coming, harvesting of:
   • references
   • usage logs
   • certification metadata
   • rights metadata
• other issues to be identified at OAI
Workshop at CERN



herbert van de sompel
                            OAI’s role


            awareness         certification     rewarding



A                          interoperable grid               R


            registration       archiving



herbert van de sompel
institutional repositories
                   institutional repositories

  • Institutionally defined: content generated by
    institutional community
  • Scholarly content: preprints and working papers,
    published articles, enduring teaching materials,
    student theses, etc.
  • Cumulative & perpetual: preserve ongoing access
    to material
  • Interoperable & open access: free online global


herbert van de sompel
  rationale for institutional repositories

  • Local & immediate
     – Increases institutional visibility & prestige by
       clarifying institutional sources of research
     – Demonstrates institution’s value to public &
       private funding sources
     – Archives institutional production
     – Complements existing scholarly publishing
       model




herbert van de sompel
  rationale for institutional repositories

  • Global & long-term
    – Key component in evolving disaggregated
      scholarly publishing model.
    – Part of global network of interoperable,
      distributed content repositories.
    – Complements existing scholarly publishing
      model. [duplication deliberate]




herbert van de sompel
           institutional repositories: how?

  • Registration:
     – Institutional repositories supply basic step of
       initial registration.
     – Alternative registration mechanisms
       accommodate increased volume of research
       output.
     – Journal model integrates registration &
       certification.




herbert van de sompel
           institutional repositories: how?

  • Certification:
     – Certification necessary to validate
       registration.
     – Repository “certification” essentially
       imprimatur of sponsoring
       institution/department (sometimes more,
       sometimes less).
     – Disaggregation allows new mechanisms for
       certification in addition to peer review.



herbert van de sompel
           institutional repositories: how?

  • Awareness:
    – Service-level awareness tools enabled by OAI-
      compliance & interoperability.
    – Search engines index the descriptive metadata
      harvested from federated repositories.
    – Search engines can use other metadata in
      services: references, certification metadata,
      usage information, …




herbert van de sompel
           institutional repositories: how?

  • Archiving:
    – No final answer on digital archiving
    – However, disaggregation helps put institutions
      (libraries?) — rather than journal publishers —
      in charge of digital archiving.




herbert van de sompel
           institutional repositories: how?

  • Rewarding:
     – Digital communication facilitates the
       generation of other metrics:
        – Citation databases not limited to selected
          journals
        – Usage information
        – Certification by which parties?




herbert van de sompel
               obstacles to implementation

  • Technical issues:
     • global level (OAI, …)
     • institutional level
  • Unknown cost parameters
  • Current journal system role in academic
    advancement
  • Systemic inertia
  • Faculty participation



herbert van de sompel
                potential faculty objection

• Faculty objections to participation include:
      – Impediment to subsequent formal publication
      – Intellectual property & data abuse issues
      – Perceived quality: lack of peer review &
        commingling of QC’d & non-QC’d material.
      – Undermines existing journal system, in which
        faculty deeply invested
      – Increased work load
      – Rewarding?
herbert van de sompel
              overcoming faculty objection

• Impediment to formal publication: trend for
  publishers to accept that online posting is not
  prior publication. Develop discipline-specific
  policies.
• Intellectual property issues:
      • repository registration protects priority
      • retain rights to eprint
      • no more plagiarism online than offline
      • machine readable rights

herbert van de sompel
              overcoming faculty objection

• Perceived quality:
      • label & differentiate types of content
      • reveal certification methods
• Undermines existing journals: repositories coexist
with existing publishing system
• Increased work load: put library in charge of
metadata tagging, formatting and reformatting, etc.




herbert van de sompel
              overcoming faculty objection

• Rewarding:
   • Institutions must reward registration in
   institutional repository
   • Funding agencies must reward institutions and
   scholars for registration in institutional
   repositories




herbert van de sompel
                        ACTION!

• Initiate institution- & consortia-based pilot
  projects
• Support academy-friendly author/publisher
  agreements
• Support learned societies in establishing new
  roles in disaggregated model
• Define alternative rewarding strategies:
  institutional, funding agencies, …




herbert van de sompel
                          questions

                          http://www.openarchives.org

                        openarchives@openarchives.org


                           http://www.arl.org/SPARC/

                                       sparc@arl.org


herbert van de sompel

				
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posted:9/24/2012
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