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Institutional repositories: barriers and drivers Alma Swan Key Perspectives Ltd RSP Summer School, Dartington, June 2007 Slide 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 Slide 3 Experience so far Only 22% have self-archived in their institutional repository Average number of postprints n repositories in 297 Key Perspectives Ltd Slide 4 JISC Information Environment Slide 5 REPOSITORIES and OA journal content Ingest layer services Search / retrieve Aggregate / display Count / assess Peer review Other value adding Editorial Key Perspectives Ltd Slide 6 The stakeholders Management Authors Readers Repository staff Key Perspectives Ltd Slide 7 Management Showcase (marketing) Collection (stewardship) Preservation Management information tool Competitor analysis tool N.B. espida.org Key Perspectives Ltd Slide 8 Authors Visibility (Googlespace) Impact Recognition Discussion Collaboration Career development Key Perspectives Ltd Slide 9 Readers Be prepared for few front-door entrants Sell on the basis of demonstrated access improvements Googlespace Key Perspectives Ltd Slide 10 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 Slide 11 BARRIERS Key Perspectives Ltd Slide 12 Barriers Technology Cost Publishers People! Authors Institutional managers Key Perspectives Ltd Slide 13 Technology Simple Server Software EPrints DSpace Fedora Bespoke OAI Key Perspectives Ltd Slide 14 Cost elements Software Open source Paid for Hardware Server Hosted People Key Perspectives Ltd Slide 15 Cost examples MIT: ~$3 million Nottingham University: 6500 The real cost comes afterwards Key Perspectives Ltd Slide 16 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 Slide 17 Authors Awareness Rights (confusion and misinformation Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 18 Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 19 Awareness Key Perspectives Ltd Slide 20 Researchers are deaf Key Perspectives Ltd Slide 21 Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 22 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 Slide 23 Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 24 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 Slide 25 Slide 26 Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 27 Slide 28 Authors Awareness Rights (confusion and misinformation) Time Difficulty Apathy, and sundry extraordinary objections Key Perspectives Ltd Slide 29 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 Slide 30 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 Slide 31 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 Slide 32 A few statistics There are circa 950 repositories globally There are 32 documented policies There are 10 mandates Key Perspectives Ltd Slide 33 Heres 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 Slide 34 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 Slide 35 DRIVERS Key Perspectives Ltd Slide 36 Drivers: management level OA: policies (funders and employers) Management information tool Institutional RAE Institutional marketing tool The urge to preserve Key Perspectives Ltd Slide 37 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 Slide 38 Author readiness to comply with a mandate 81% 14% 5% Key Perspectives Ltd Slide 39 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 Slide 40 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 Slide 41 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 Slide 42 Data courtesy of Arthur Sale Key Perspectives Ltd Slide 43 Data courtesy of Arthur Sale Key Perspectives Ltd Slide 44 Data courtesy of Arthur Sale Key Perspectives Ltd Slide 45 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 Slide 46 Minho University repository Mandate introduced (Data courtesy of Eloy Rodrigues) Key Perspectives Ltd Slide 47 Mandate what? The authors 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 Slide 48 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 Slide 49 What about PDF? Clifford Lynch (CNI): PDF is evil Key Perspectives Ltd Slide 50 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 Slide 51 Mandate when? At acceptance for publication: the authors 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 publishers PDF can be added, or linked to, later Key Perspectives Ltd Slide 52 Other management-level drivers Management information tool Institutional (especially linked to a CRIS) RAE Institutional marketing tool The urge to preserve Key Perspectives Ltd Slide 53 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 Slide 54 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 Slide 55 Why researchers publish their work Key Perspectives Ltd Slide 56 Open Access increases citations Key Perspectives Ltd Range = 36%-200% (Data: Stevan Harnad and co-workers) Slide 57 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 Slide 58 Usage feedback Citation analysis tools Usage analysis tools Key Perspectives Ltd Slide 59 Citebase Key Perspectives Ltd Slide 60 Slide 61 Download timelines Key Perspectives Ltd Slide 62 Referrers Key Perspectives Ltd Slide 63 Links and search terms Key Perspectives Ltd Slide 64 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 Slide 65 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 Slide 66 Publisher permissions (by journal) Key Perspectives Ltd Slide 67 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 Slide 68 Versions of articles Key Perspectives Ltd Slide 69 Digital certificate Key Perspectives Ltd Slide 70 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 Slide 71 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 Slide 72 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 authors own testimony Slide 73 Lund Virtual Medical Journal Key Perspectives Ltd Slide 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 Slide 75 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 Slide 76 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 Slide 77 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 Slide 78 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 Slide 79 Viability Is it feasible to launch this? Project team Pilot project Assessment Cash costs Other resourcing Key Perspectives Ltd Slide 80 Sustainability Project-to-service issues Resourcing requirements KPIs Growth Business planning The effects of success Workflow: quality/quantity trade-off Revenue Key Perspectives Ltd Slide 81 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 Slide 82 Challenges Funding:X Integrating with existing workflow:X Content recruitment: + Faculty engagement: + Key Perspectives Ltd Slide 83 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 Slide 84 Thank you for listening aswan@keyperspectives.co.uk www.keyperspectives.co.uk www.keyperspectives.com Key Perspectives Ltd