# Presentation: 401137

## the OAI and a disaggregated scholarly communication system

- Universiteit Gent – 15 Oktober 2002

## Slide 2

## core motivation

-  we were trying hard, but ...

## library position

- P
- U
- B

- D I S

- L
- I
- B

## 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

## 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)

**Notes:**
Zulke systemen waren zich beginnen ontwikkelen buiten de bibliotheken.  Het Los Alamos arXiv was het meest notoire voorbeeld, maar er waren ook andere, zoals NCSTRL, RePEc, NDLTD, CoGPrints etc.

## core motivation

-  we were trying hard, but ...
- could there be other (better) ways?

## alternative library position?

**capture & share the input...**

- L
- I
- B

**using the global network**

## 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*

## Luce * Van de Sompel * Ginsparg

**Notes:**
Dat grote dingen niet altijd even ernstig starten wodt geilustreerd door deze foto.  Gepubliceerd in een US tijdschrift na weg-editen van glazen en flessen.

## scholarly 

- scholarly
- communication

## establish a technological basis that

- allows addressing the other issues.

## systems for scholarly communication

## free our minds

-  let’s look at what has to be done in a system for scholarly communication

**Notes:**
Forget about: the only guaranteed actors are authors and readers

## 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 |

- {Roosendaal & Geurts}

**Notes:**
Each scholarly communication system MUST fullfill these functions

## 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 |

- {Roosendaal & Geurts}

## systems for scholarly communication

- registration

- awareness

- archiving

- certification

*rewarding*

## preprint systems

| registration | yes |
| --- | --- |
| certification | no |
| awareness | yes |
| archiving | no |
|  |  |
| rewarding | no |

## preprint systems

| registration | yes |
| --- | --- |
| certification | no |
| awareness | yes |
| archiving | no |
|  |  |
| rewarding | no |

##  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

## disaggregated system: how?

- 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

## 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

## OAI’s role

-  but coming, harvesting of:
-  references
-  usage logs
-  certification metadata
-  rights metadata
-  other issues to be identified at OAI Workshop at CERN

## OAI’s role

- registration

- awareness

- archiving

- certification

*rewarding*

## 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

## rationale for institutional repositories

- 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

## 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]

## institutional repositories: how?

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

## institutional repositories: how?

- 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.

## 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, ...

## institutional repositories: how?

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

## institutional repositories: how?

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

## obstacles to implementation

-  global level (OAI, ...)
-  institutional level
- Unknown cost parameters
- Current journal system role in academic advancement
- Systemic inertia
- Faculty participation

## 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?

**Notes:**
Objection = bezwaar

## 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

## 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.

## overcoming faculty objection

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

## ACTION!

- Support academy-friendly author/publisher agreements
- Support learned societies in establishing new roles in disaggregated model
- Define alternative rewarding strategies: institutional, funding agencies, ...

## questions

- http://www.openarchives.org
- openarchives@openarchives.org

- http://www.arl.org/SPARC/
- sparc@arl.org