INSTITUTIONAL REPOSITORIES

Dr. Ramesh Reader Dept. of Library &Information Science University of Madras Chennai 600 005
bramesha@rediffmail.com

Today's Agenda on IR
Questions/ Discussion Fad or Fundamental?

Why IR, Why Now?

Action Plan
Getting Started

Design and Development

Key Concepts
A Bit of Theory

Critical Success Factors

IR
Standards

The IR Agenda

What is IR ?
An institutional repository consists of formally organized and managed collections of digital content generated by faculty, staff, and students at an institution. The content of these repositories can be made available for integration with oncampus library and course management systems. It can also be made available to colleagues and students at other institutions, as well as to the general public.

Institutional Repositories Defined

Institutional repositories, by capturing, preserving, and disseminating a university's collective intellectual capital, serves as meaningful indicators of an institution's academic quality Digital collections that capture and preserve the intellectual output of a single or multiInstitution community - Crow, 2002

Institutional Repositories Defined

An institutional repository (IR) is a digital collection of a university's intellectual output. Institutional repositories centralize, preserve, and make accessible the knowledge generated by academic institutions. IRs also form part of a larger global system of repositories, which are indexed in a standardized way, and searchable using one interface, providing the foundation for a new model of scholarly publishing.

Canadian Association of Research Libraries

Collection Development and IR

What is CD? selection, acquisition, process, store, retrieve and dissemination In case of IR? Collect, organize, store, retrieve and dissemination of digital collection. Ultimate goal is to Maximization of users satisfaction according to Dr. S. R. Rs Five laws of LS 1. IR for use 2. Every reader his/her IR 3. Every IR its Reader 4. Save the time and money of the user and librarian 5. IR is a growing organism.

IRs Includes
Materials produced by university faculty and researchers i.e., Articles, preprints, working papers, presentations, dissertations, theses, data sets, course materials, audio/video files, web pages, technical reports, images, university archives Multiple formats and disciplines

Why build IRs?

Journal Prices Open Access Grey literature Data sets Preservation Institutional assets Prestige and visibility

Why build IRs?

Contd.

Knowledge, or intellectual capital, produced by scholars and their parent institutions tends to end up being disseminated by commercial publishers Output from individual universities is dispersed to publishers and then to library collections. IR offer a strategic response both to the opportunities of the digital networked environment and the systemic problems in the todays scholarly journal system. IRs are marketing tools, communicating capabilities and quality by showcasing faculty and research scholars, public service projects, and other activities and collections.

Who are the stakeholders?

University administration Faculty and researchers Information Technology department Library Students Global scholarly community and others

IR : Historical Perspective
One way of providing and organising digital content is by establishing institutional repositories. Participants at the inaugural meeting in October 1999 of what became known as the Open Archives Initiative (www.openarchives.org/) were academic librarians and computer scientists interested in archiving, metadata, and interoperability. By the end of October the initiative had changed its name from the Universal Preprint Service (UPS) to the Open Archives Initiative (OAI). This change of name reflected the wider utility expected of the software, which was no longer seen as restricted to e-print repositories.

IR : Historical Perspective

Contd

In many institutions, such as University of Melbourne, the Australian National University, University of Nottingham, and University of Glasgow, library staff are taking the initiative to establish e-print repositories compliant with international standards. In these universities and many others, the software employed is e-prints.org Another example of institutional libraries leading the way in developing OAI compliant digital repositories is MIT Libraries, where library staff worked with the Hewlett-Packard Company to develop D-Space.

Institutional repositories University of Southampton, Department of Electronics and Computer Science University of Edinburgh, Theoretical and Applied Linguistics University of Nottingham (Nottingham ePrints) University of Glasgow (ePrints @ Glasgow) University of Bath [pilot]

Records 7,158

URL http://eprints.ecs.soton.ac.uk/

90*

http://archive.ling.ed.ac.uk/

46

http://wwwdb.library.nottingham.ac.u k/ep1/ http://eprints.lib.gla.ac.uk/ http://eprints.bath.ac.uk/

36 4

Subject-based repositories
Subject-based repositories Records URL

CogPrints Cognitive Science Eprint Archive Psycoloquy [e-journal]

1,709

http://cogprints.ecs.soton.ac. uk/ http://psycprints.ecs.soton.ac. uk/ http://formations2.ulst.ac.uk/

720

Formations Media Studies Archive

21

Sources: http://software.eprints.org/; * from search of: http://archive.ling.ed.ac.uk/ (28 May 2003)

Principles of IR
Digital content Support and promote creation and preservation of digital research outputs. Discovery Support and promote discovery of related digital research outputs across content collections and disciplines. Collaboration Support and promote national and international collaboration to enhance management and interoperability of digital content. Connection Support and promote connections between digital research, learning and administration services

Principles of IR

Contd

Standards Support and promote use of relevant open standards, such as the OAI (Open Archives Initiative) Protocol for Metadata Harvesting (PMH). Software Support and promote use of existing systems as proven tools for creating OAI-compliant repositories. Diversity Support and promote software diversity within an OAI-compliant frameworkone solution does not fit all. Evolution Support and promote learn by doing and use of demonstrators to build shared experience.

Principles of IR

Contd

Authors Support and promote processes that make it easy and desirable for authors to submit their research outputs. Cost Support and promote approaches that minimize the costs to institutions of participation and compliance. Sustainability Support and promote solutions which can be readily looked after, such as the ability to scale up as usage grows. Preservation Support and promote choices for digital object formats that enable long term preservation of and access to content.

How to Proceed for IR?

Learning about the process by reading about and examining other institutional repositories. Developing a Service Definition and Service Plan:
Conduct a need assessment of the institution. Develop a cost model based on this plan. Create a schedule and timeline.

Develop policies that govern content acquisition, distribution, and maintenance.

Assembling a team

Technology Choose and install software platform

Marketing Launching a Service Running a Service

Workflow Involved in IR
1. CONTENT: Pre-prints and other works-in-progress; Peer-reviewed articles; Monographs, teaching materials, data sets and other ancillary research materials; Conference papers, electronic theses & dissertation and gray literature and Administrative records, heritage of the institution etc.,

Workflow Involved in IR
2. SUBMISSION :

Contd.

Once the collection scope has been carefully defined, though can then be given to the submission workflow; The practical aspect of the submission interface are large dependent on the repository software chosen. IR software usually has a web-based submission interface E.g., 1. Dspace submission interface 2. OCLCs name authority Web service.

Workflow Involved in IR

Contd

3. ACCESS: IR should be accessible to end users both within and outside of the institution. Few barriers exists to access IR

Workflow Involved in IR

Contd

4. OUTPUT: A repository may decide that it will only automatically support popular format like HTML, PDF, MS word, Postscript, TeX or TIFF etc.,

Workflow Involved in IR 5. INTELLECTUAL PROPERTY RIGHTS(IPR):

Contd

Research project called RoMEO (Rights Metadata for Open Archiving). This project compiled a list of journal published copyright policies on self-archiving, e.g., 1. Nature Publishing House allowed authors to reuse or to post a PDF copy on their own (Not-for-profit) IR. 2. The Welcome Trust given a guidelines to grantees will be required to deposit e-version of research output, e.g., PubMed Central

Workflow Involved in IR

Contd

6. SUSTAINABILITY Two Steps of long-term sustainability 1. The need for ongoing strategic & financial support from the host institution; 2. The need to ensure continued longterm access to the content of repositories.

Workflow Involved in IR 7. EVALUATION :

Contd

IR : is it Fashion Statement? Periodic evaluation to ensure that it they are fulfilling its basic institutional requirements. Evaluation to ensure that users continue to full their needs; It will help identify new requirements. Results may changes in development of IR.

IR : Functional Model
P R O D U C Administration Ingest/ Process IR Storage Access Preservation Planning Data Management

C O N S U M E

E
R

Management

IR : A Proposed Model
Content Producers Departments / University Schools Institutional Research Output

Research Reports Sponsored Research

E-prints (Preprints of papers submitted to journals / Conferences) Theses and Dissertations

IR
Digital Archive (Metadata + Full Text and Image Files) Local Access via Campus-wide INTRANET Remote Access via INTERNET

Roots of Institutional Repositories

Transformation (for permanence, for culture)

Preservation

Innovation

IR Intellectual Assets/Capital Knowledge-based Systems Information Management

Benefits of IRs
For Users:: Expansion of the range of knowledge that can be shared Opportunities to simplify and extend dissemination. For Institutions : Enabling of IPR to be exploited more effectively an institutional level The highlighting of the quality of intellectual capital For all: Opportunities for new forms of scholarly communication. Flexible ways to develop existing scholarly communication.

Challenges before IRs

Intellectual Property issues Diverse formats and bulk of materials Metadata Management and access control Cooperation among stakeholders Publishers Tenure system

Most Common Challenges

Adoption rate by academics Providing for sustainability Developing policies Managing intellectual property rights University support Cost management Digital preservation Identifying key stakeholders

Suggested steps for developing an institutional repository

Early and significant collaboration with library experts to design basic metadata standards and cataloging procedures; Early decisions which should be revisited later regarding the vision and scope for an institutional repository, and for the services to be provided to faculty and students by the stewards/managers of the repository; An early decision on whether to immediately implement a true repository, or rather to evolve related systems with the intent of integrating those systems into a repository environment at a later date;

Contd.
Early small wins with individual academic departments focused on integrating institutional repository objects into classroom instruction or research projects; Addressing underlying infrastructure issues, including network bandwidth, low-cost disk storage, authentication, and digital preservation; Develop institutional standards and procedures for managing disciplinary and institutional collections, and procedures for migrating content from individual to disciplinary to institutional status.

Digital Collections & Services

institutional

teaching & learning research life-long education

peer-reviewed publications conferences & colloquia proofs & evidence source material Scholarly Communication Service

COMPASS

extracts from sources & data drafts, works in progress, & intermediate results projects and theses presentations

Libraries
managed, permanent collections purchased & licensed digital & traditional discovery & access tools & services

individual

papers, quizzes, tests threaded discussions labs & reading lists class materials

data & text mining metadata & navigation

Digital Repository

CourseWork books project

temporary

LONGEVITY

permanent

LOCKSS High Wire Press, SUPress & other publishers

I R Software Providers
Archimede Bepress CDSware CONTENTdm DSpace - www.dspace.org EPrints - www.eprints.org Fedora - (www.fedora.info/) Greenstone Open Repository

Choose Suitable Software

Eprints is a low cost option for a repository primarily aimed at open access to article preprints and post-prints, including digital theses. A range of object types can be uploaded, including video, audio, images and zip files. There are 11 Eprints repositories in Australia and the University of Tasmania has offered a consulting service to help New Zealand institutions choosing this option. This option offers easy entry, at the price of limited functionality

Choose suitable software

DSpace is functionally richer and supports a wide range of object types, including text, sound, images and video. It provides detailed implementation guidelines. The institutional repository at the Australian National University uses DSpace. Institutions for which Eprints is not quite suitable may find DSpace more closely meets their needs, without being unnecessarily complex. Acknowledging the success of the Dutch DAREnet repository system, an institution may wish to consider ARNO as an alternative to DSpace.

Choose suitable software

For an institution seeking a powerful, wellarchitected repository suitable for very large (1,000,000 plus) collections, and that have the technical expertise to support it, Fedora is a possible solution. Both Monash University and the University of Queensland are building services layers to improve Fedoras usability. Monash has a production repository containing about 70 papers. CDSware may be a suitable alternative for large and complex collections. While it does not appear to be widely-used, it is proven in the rigorous and demanding environment of CERN. For an institution considering multiple disciplinebased repositories with a metadata harvesting and resource discovery service, i-Tor may be a suitable option.

The DSpace example

To illustrate the nature of IR software platform initiatives : Definition. DSpace is an open source software platform that enables institutions to: Capture and describe digital works using a submission workflow module. Distribute an institution's digital works over the Web through a search and retrieval system. Preserve digital works over the long term.

The DSpace example

Contd

Mission: To create and establish an electronic system that captures, preserves and communicates the intellectual output of MIT's faculty and researchers. To support adoption by and federation with other institutions. Vision: A federation of systems makes available the collective intellectual resources of the world's leading research institutions.

Global Standards
Avoid unnecessary limitations on the types and content or format of digital objects Adopt a common standard for the unique, persistent identification of digital objects Digital objects must have accompanying descriptive metadata, conforming at least to some form of Dublin Core Repositories may expose additional metadata specific to their domain needs the format for metadata must be XML-based Adopt OAI-PMH as the standard for data exchange between networked repositories Adopt HTTP as the protocol for linking, so that anyone using any browser can access the repository

IR : Role of Libraries and Librarians

An effective IR of necessity represents a collaboration among librarians, IT specialists, archives and record mangers, faculty and university administrator and policy makers. Libraries could provide direct access to scholarly publication via IR instead of via serials publishers & vendors. Libraries would need to recruit librarians who possess digital collection management and OAIS management skills. Training faculty & students to use OAIS.

IR: Librarians Role

Librarians' involvement includes developing content management policies; Deciding on what metadata to store and present; Crafting author permission and copyright agreements; Creating document submission instructions; Training staff and authors in using the software to submit content; and Marketing the repository concept to prospective depositors In addition, it is the skills and expertise of librarians in the areas of communication, preservation, metadata handling, advocacy and promotion that make them ideal managers of institutional repositories

Good News for IR Creators

Cox and Cox's (2003) study for the Association of Learned and Professional Society Publishers reports the following findings: Large publishers are more likely to allow articles to be posted prior to publication. Most publishers allow published articles to be posted to Web sites, though medium-sized commercial companies are an exception. Publishers are more inclined to allow posting published articles to the author's own site than their institution's, but posting to preprint servers is much less acceptable. Few publishers disallow the re-use of authors" material within the academic institution, subject to proper acknowledgement of the journal and publisher. Over half the publishers allow the author to use his or her material within his or her own publications. Although most publishers still require journal authors to assign copyright, the author is not restricted from using the work for personal or institutional purposes.

Addressing Concerns
IRs act as a complement to, not a replacement for, traditional scholarly journals Publishers (including Elsevier) are beginning to allow self-archiving by authors Costs can be mitigated by immediate benefits to institutions visibility and prestige, and by longterm benefits of preservation and access Library can assist with content submissions by converting to archival formats, adding metadata and addressing content management issues (IP, QC)

Potential Impact of Institutional Repositories in India

It is difficult to evaluate the potential impact of IR in India without noting that, at the present time, there are a limited number of institutional repositories in India. Indian Institutions themselves can use repositories as a symbol of their commitment to the sustainable management of its own intellectual resources.

Tips For IR Creators and Developers

A very useful view of the development of open access Institutional archives in the wider context of ; free online scholarship (FOS) is available in Peter Subers Timeline of the FOS Movement, Available : at
www.eartham.edu/~peters/fos/timeline.htm

14 Individual project, at
www.jisc.ac.uk/index.cfm?name=programme_fair

ISTEC / DLL: https://dspace.istec.org and sample conference page at http://dll.istec.org/conferences/brasildll03/ University of New Mexico (UNM) http://repository.unm.edu/

D-Lib Magazine - www.dlib.org Best person to Discuss: MacKenzie Smith, kenzie@mit.edu.

Summing up
The idea of IR will definitely present many opportunities and challenges to LIS Professionals. The concept is implemented, the librarys visibility and importance would be elevated not only the institutional level, but also at national and global levels. With intellectual leadership from the faculty and the library working in partnership able to preserve and continue to foster the growth of human knowledge.

THANKS