Institutional Repositories: An Effective Scholarly Communication Channel Poornima Narayana Deputy Head, Information Center for Aerospace Science & Technology.

Institutional Repositories: An Effective Institutional Repositories: An Effective Scholarly Communication ChannelScholarly Communication Channel

Poornima NarayanaDeputy Head,

Information Center for Aerospace Science & TechnologyNational Aerospace Laboratories

Bangalore –560017 India

  Presented at National Symposium on “Open Access and

Building Institutional Repositories” 21st-23rd January 2009 National Aerospace Laboratories, Bangalore, India

Principles and Strategies for the Reform Principles and Strategies for the Reform of Scholarly Communicationof Scholarly Communication

The broadest possible access to published research and other scholarly writings

Increased control by scholars and the academy over the system of scholarly publishing

Fair and reasonable prices for scholarly information

Competitive markets for scholarly communication A diversified publishing industry Open access to scholarship

Source: ACRL, 2003

Principles and Strategies for the Reform Principles and Strategies for the Reform of Scholarly Communication ……of Scholarly Communication ……

Innovations in publishing that reduce distribution costs, speed delivery, and extend access to scholarly research

Quality assurance in publishing through peer review Fair use of copyrighted information for educational

and research purposes Extension of public domain information Preservation of scholarly information for long-term

future use The right to privacy in the use of scholarly

information

Source: ACRL, 2003

Publication ChannelsPublication Channels

Journals

Technical Reports

Conference Proceedings

House Magazines

Institutional Repositories

E-print Archives

Institutional Websites

…….

What is Open AccessWhat is Open Access

User’s aspect

Its free availability on the public Internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles,crawl them for indexing,pass them as data to software, or use them for any other lawful purpose,without financial, legal, or technical barriers other than those inseparable from gaining access to the Internet itself.

Source: Budapest Open Access Initiative, 2002

What is Open AccessWhat is Open Access

Author’s aspect

The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be given to authors control over the integrity of their work and the right to be properly acknowledged and cited.

Source: Budapest Open Access Initiative, 2002

Open access increases impactOpen access increases impactNatureNature, vol. 411, No. 6837 (2001) p. 521, vol. 411, No. 6837 (2001) p. 521

Open Access ChannelsOpen Access Channels

- Refereed free electronic journals,

- Research-area-specific archive

(e-print) servers,

- Institutional repositories of individual universities/institutions and

- Self-posting/archiving on authors'

home pages.

Indian Open Access Journals

Sl. No.

PublisherNumber of

Titles

1.Indian Academy of Sciences (IAS) 11

2.Indian National Science Academy (INSA) 4

3.Indian Medlars Center of NIC (MedInd) 39

4.Medknow Publications 45

5.Indian journals.com 12

6.Kamala-Raj Enterprises 9

Indian OA JournalsIndian OA Journals

International Open Access Day on 14 October 2008

National Institute of Science Communication And Information

two journals of NISCAIR [ CSIR India ] - Indian Journal of Chemistry - Section A and Indian Journal of Biochemistry & Biophysics in

Open Access mode . NISCAIR Online Periodicals Repository [NOPR]

[ http://nopr.niscair.res.in ].

What is an IRWhat is an IR

An IR is a service that a Research Organization offers to its community for the management and dissemination of research materials created by the community members

Currently used by leading academic and research institutions worldwide for providing improved access to their research publications

Institutional RepositoriesInstitutional Repositories

Definition: An Institutional repository is an Organization based set of services

which the organization 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, where appropriate, as well as organization and access or distribution” (Clifford Lynch 2003)

“Digital archives of intellectual products created by the faculty, staff and students of an institution or group of institutions accessible to end users both within and outside the institution.”

Institutional RepositoriesInstitutional Repositories

Institutionally based

Scholarly material in digital formats

Cumulative and perpetual

Open and interoperable– But not necessarily free!

IR UsersIR Users

Senior administrationGraduate studentsRetiring professorsUniversity research documentsInstitutes and CentresYour own organization

Why an IR?Why an IR?• Halving the double dip

• Providing outlets for monographs and other specialty publications

• Ensuring persistent access to information

• Better representation of scholarship created within the institution

• Stake or further leadership claim in a specific subject area

• For consortia, display the depth and breadth of members’ intellectual output

WhyWhy Institutional Institutional Repositories?Repositories?

For the Individual– Provide a central archive of their work– Increase the dissemination and impact of their research– Acts as a full CV

For the Institution– Increases visibility and prestige– Acts as an advertisement to funding sources, potential new faculty

and students, etc. For Society

– Provide access to the world’s research– Ensures long-term preservation of institutes’ academic output

Why Establish an IR?Why Establish an IR?

Institutional Benefits– Stewardship of scholarly output– Efficiencies through centralization– Showcase– Proactive response to scholarly

communication crisis/open access movement

Why Establish an IR?Why Establish an IR?

Individual Benefits– Wider distribution– Showcase– Safekeeping– Lowers technology barrier– Time– Persistent URLs

Type of Research Material in an IRType of Research Material in an IR

Published Research Material Ex: Journal articles, Book chapters, Conference

papersUnpublished Research Material Ex: preprints, working papers, Thesis/dissertations,

technical reports, progress/status reports, committee reports presentations, teaching materials, audio/video clips

Supporting Research material Ex: Data sheets, models, blue prints

An Institutional Repository can An Institutional Repository can provideprovide

A complement to existing Scholarly Communication models A complement to other digital collections (dynamic connections

between “texts”) Redundancy of scholarship (NELLCO & RePEc) Collocation for a scholar’s work (Researcher Page) Greater access to grey literature Institutional stewardship & preservation (Are data providers or

aggregators as committed long-term as an institution’s library?)

Core FeaturesCore Features

Digital contentCommunity-driven & focusedInstitutionally supportedDurable & permanentAccessible content

Core FunctionalityCore Functionality

Material submissionMetadata applicationAccess controlDiscovery supportDistributionPreservation

How does IR workHow does IR work

Research material is hosted and managed on an Institutional Repository server, using appropriate IR software

Accessible on the organizational LAN (intranet) + Internet/private network

Scientists use a web browser to submit (deposit) research material and also search the repository

Through OAI inter-operability protocol, a central search service ‘Harvests” metadata from individual IR’s, builds a cross-index and provides single point cross-repository search service

Security concerns could be handled at network, IR and publication level

IR TechnologyIR Technology

IR software (Open Source/Commercial)OAI-PMH harvesting protocol/software

(Free)Intel/Pentium servers for IRLinux/Red Hat OS, MySQL/PostGress

DBMS, Apache/Tomcat web server, Perl/Java (Free)

StandardsStandards•Metadata Standards

–Dublin Core, SCORM

•Character Encoding standards

–Unicode

•Persistent Identifiers

–CNRI Handles

–DOI (Digital Object Identifiers)

•Harvesting Standards

–OAI-PMH

IR SoftwareIR Software

Key component of an IR is the repository management software

Several software now available under open source license

Comply with OAI metadata harvesting protocol

Released and publicly available

IR SoftwareIR Software

ARNO (Academic Research in Netherlands Online), Tilburg University

http://www.uba.uva.nl/arno CDSware (CERN Document Server software, CERN,

Geneva, Switzerland http://cdsware.cern.ch/ I-Tor (Tools & Technologies for open repositories),

Netherlands http://www.I-tor.org/en/toonMyCore http://www.mycore.de/engl/index.html

IR SoftwareIR Software

Dspace - MIT and HP, Cambridge, MA, USA - http://www.dspace.orgEprints - University of Southampton, U>K - http://software.eprints.orgFedora digital object repository management system - University of Virginia, USA - http://www.fedora.info/

What an IR aim to doWhat an IR aim to do

• Capture and describe digital material using a

workflow

– Provide interface for online submission of research

material (intranet)

• Provide access to this material over the web

(metadata and/or full pub)

• Preserve digital material over long period of time

• Expose metadata through OAI-PMH protocol

– Default: Unqualified Dublin Core

– Other metadata standards

EPrints and DSpaceEPrints and DSpace

Widely used IR software Platform – EPrints: Unix/ Linux/ Perl/ Apache/ MySQL/ XML/ HTML/ – DSpace: Unix/ Linux/ Java/ Tomcat or Apache/ XML/ HTML/ Ant/ PostGreSQL Imply software knowledge required for installing,

configuring, and maintaining archives developed using these

packages.

Institutional RepositoriesInstitutional Repositories

Institutional Repositories World Scenario: Country Wise

Sl. No.

Country OpenDOAR ROAR

1. United States 292 26.11 226 22.96

2. Germany 124 11.09 83 8.43

3. United Kingdom 118 10.55 107 10.87

4. Australia 53 4.74 33 3.35

5. The Netherlands 44 3.93 23 2.23

6. Canada 40 3.57 42 4.26

7. France 37 3.30 39 3.96

8. Sweden 30 2.68 35 3.55

9. Brazil 26 2.32 55 5.58

10. Italy 38 3.39 29 2.94

11. India 29 2.59 28 2.84

12. Belgium 22 1.96 15 1.52

13. Japan 68 6.08 45 4.57

14. Spain 24 2.14 32 3.25

15. Others 229 20.48 192 19.51

16. TOTAL 1118 100.00 984 100.00

No. % No. %

IR StatisticsIR StatisticsSoftware: Dspace - 30% GNU / Eprints - 25%

Language: English - 85% German – 15% French – 10% Spanish – 6%

Document Type:• Thesis – 50%• Grey List – 45%• Conference Proceedings – 35%• Books – 30%

Subject Type:• Multidiscipline – 55%• Medicine – 7%• History – 7%• Library & Information Sc – 5 %

Growth of the OpenDOAR Growth of the OpenDOAR Database- WorldwideDatabase- Worldwide

Usage of Open Access Usage of Open Access Repository Software- WorldwideRepository Software- Worldwide

Subjects in OpenDOAR - Subjects in OpenDOAR - WorldwideWorldwide

IR: Core IssuesIR: Core Issues

• Policy Decisions

• Organizational Issues

• Cultural Issues

Policy DecisionsPolicy Decisions• Scope

- Multidiscipline / single subject /Entire research output

/database for each functional unit• Types of documents

- Single database for different types /single one• Software: OSS like DSpace or GNU Eprints or develop own• Research Deposit Types: Thesis, Journal articles,

Preprints, Reports, Conference papers, Book Chapter, etc• Resources: Human (IT, Library), Servers, Funding• Stake holders: Library, Each Department, Institute as a whole• Services

Management and Organizational Management and Organizational IssuesIssues

• Deposit options - Researcher self deposit and /or assisted deposit

• Metadata quality - Ensuring quality and rich metadata is labour intensive

• Mandatory metadata fields• Digitization: Born digital / Scanning• File formats: Accept all, Only PDF and/or other, Conversion• Only full text database and/or Bibliographic• Copyright: RoMeO Publishers Copyright policies• Quality assurance: Peer review, Editing • Deposit Agreement and Use Agreement - Depositor’s declaration: Non-exclusive license - Copyright/Patent/Trademarks - Repository’s rights and responsibilities: Distribute, Store, Migrate, Copy Rearrange, Remove - Use Agreement: Copy, Distribute, Display, Share, Author credit

Cultural IssuesCultural Issues

• Advocacy - Sensitive to organizational culture and background - Community size - Strategy: stakeholders, management committees • Copyright - Concern of researchers, Legal department• Positioning - Library/Institute Website

Directories of Open Access Repositories

OpenDoar (http://www.opendoar.org/)  ROAR (http://archives.eprints.org/)

The University of Illinois OAI-PMH Data Provider Registry (http://gita.grainger.uiuc.edu/registry/Info.asp)

Openarchives.eu (http://www.openarchives.eu/home/home_do.aspx)

OpCit: The Open Citation Project   (http://opcit.eprints.org/opcitabout.shtml)

RoMEO (Rights MEtadata for Open archiving (http://romeo.eprints.org /publishers.html)

Key Features and Key Features and FunctionalityFunctionality

Registration of institutional users (authors) - For document submission and other privileged use -User authentication - Profile setupDocument submission - Authentication - Assign metadata - Upload document - Grant licenseApproval/moderation - Submission (metadata, format, affiliation etc) - Content approval (peer review)

Key features and FunctionalityKey features and Functionality

Archiving - Date stamping - Unique/persistent identifier assignment - Preservation support - Indexing and storageDissemination - Search/Browse - OAI registration and compliance (metadata exposure) - Rights managementAdministration -Administration communities, collections, users,groups - Document formats, metadata - Licenses, submission policies - Preservation

COPYRIGHT ISSUESCOPYRIGHT ISSUES

Berlin Declaration Act recognises the view that community standards will continue to be important in the enforcement of proper attribution and responsible use of the published work

The ROMEO project at Loughborough investigated publishers’ attitudes to mounting of pre- and post-prints on servers

The SHERPA project at Nottingham has taken over and augmented the ROMEO data

http://www.sherpa.ac.uk/romeo.php Yellow publishers allow preprints but not postprints; blue ones

postprints but not preprints; green ones both; white neither 61% of publishers on the current SHERPA list formally allow some

form of self-archiving; 38% out of the 61% are “green”

ARCHIVAL ISSUESARCHIVAL ISSUESBudapest Open Access InitiativeTwo complementary strategies: Self-Archiving: Scholars should be able to deposit their

refereed journal articles in open electronic archives which conform to Open Archives Initiative standards

Open-Access Journals: Journals will not charge subscriptions or fees for online access. Instead, they should look to other sources to fund peer-review and publication (e.g., publication charges)

IRs and Open AccessIRs and Open Access

Promote Open Access Archiving ‘Green Road’IRs are just one possible vehicle for open

access– Open access journals– Subject repositories

HarvestersHarvesters

Google, Google Scholar, Yahoo– Harvest metadata from OAI-PMH OAJS, E-PRINT

Archives & IRs

OAI (Open Archives Initiative) Protocol for Metadata Harvesting– Dublin Core– Self-identification

Web Citation Index

Metadata HarvestersMetadata Harvesters

Indexes/harvests metadata from OA Archives & OAJs

Interoperable, cross searching over Repositories OAI-PMH Compliant OAIster – Uni Michigan (wwww.oaister.org) ARC - ODU, Virginia ArXIV (Physics, Maths., Comp.Sc) UIUC Registry of Cultural Heritage ; UIUC Data

Provider Registry

Metadata Harvesters - IndiaMetadata Harvesters - India

Search Digital Libraries (SDL) /DRTC harvesting L&IS subject-specific open access archives and repositories.

‘Knowledge Harvester@INSA’, experimental initiative harvests metadata from 3 archives.

“SJPI Cross Journal Search Service” initiative from NCSI at IISc 13 Indian open access journals

SEED IITD indexes 4 archives NAL OAI compliant IRs of CSIR Labs. through a unified

search interface (PKP Harvester) Open J-Gate (www.openj-gate.org), a free service open access

journals indexing service Informatics India Private Limited

s.

Scholarly Communication Scholarly Communication ParadigmParadigm

IADL: How it operates

Tech Reports Pre-prints Journal Articles

Access & Dissemination

NAL DRDO ISRO IISc IITs, Etc

Deposit

Metadata +Full Pub)

Service Provider

ICAST, NAL

Presentation Thesis, etc

Digital Repository

Local Intranetaccess

Remote Internet access

MetadataOAI-PMH

IMPORTANT CASE STUDIESIMPORTANT CASE STUDIES

The ARNO project (Academic Research in the Netherlands Online

SPARC launched in 1998 by the US Association of Research Libraries

TARDiS (Targeting Academic Research for Deposit and Disclosure U K)

CDSWARE (CERN) DAEDALUS (Univ at Glasgow U K) DARE (Digital Academic Repositories Netherlands) FAIR (Funded by JISC) LEADERS (Linking EAD to Electronically Retrievable

Sources)

Important IRs (World over)Important IRs (World over)

Australian National University

Aalborg University

Universitat Stuttgart

Lunds Universitet

National University of Ireland

University of Glasgow

California Digital Library

MIT

Universite de Montreal

Universitat Essen

Utrecht University

CERN

University of Bath

University of Nottingham

Caltech

Academy of Sciences, Belarus

Scientific ResearchScientific Research in India in India• The third largest scientific and technical manpower

in the world• Vision oriented efforts since Independence (1947 +) • Exclusive Government Departments for Science &

Technology, Atomic Energy, Space, Electronics, Oceanography, Biotechnology…

• Over 300 Research Laboratories belonging to CSIR, ICMR, ICAR, ICSSR, DRDO, ISRO…

• Education/Science performed by IISc, IITs, NITs, IIMs…and most of the Medical/ Engineering/Business Schools, Universities and research labs are of international standards

Institutional Repositories:Institutional Repositories:Indian ScenarioIndian Scenario

Nearly 50 Institutions Public Domain (Internet): 35 Campus Network/LAN : 15Leading IRs IISc, ISI, NAL, NCL, NIO, RRI, DU, IITs

Sl.No.

Name Host Institution URL 

Items Jan2008

Soft. Used

1. Eprints@IISc Indian Institute of Science, (IISc) Bangalore.

http://eprints.iisc.ernet.in/ 7672 EPrints

2. Dspace@IIMK Indian Institute of Management, Kozhikode (IIMK)

http://dspace.iimk.ac.in/ 295 EPrints

3. Dspace@IIA Indian Institute of Astrophysics (IIA)

http://prints.iiap.res.in/ 1903 DSpace

4. Dspace@NITR 

National Institute of Technology,Rourkela (IITR)

http://dspace.nitrkl.ac.in/dspace/ 

557 DSpace 

5. ETD@IISc Indian Institute of Science (IISc)

http://etd.ncsi.iisc.ernet.in/ 

289 DSpace

6. Dspac@INFLIBNET

INFLIBNET http://dspace.inflibnet.ac.in 504 DSpace

7. Librarian's DigitalLibrary (LDL)

Docum. Res. &Training Centre (DRTC)

https://drtc.isibang.ac.in/ 

249 DSpace

8. NAL InstitutionalRepository

Nat. Aerospace Laboratories (NAL)

http://nal-ir.nal.res.in/ 

2575 EPrints

Institutional Repositories:Institutional Repositories:Indian ScenarioIndian Scenario

IR Software Dspace – 25 Eprints - 11 Greenstone – 7 Inhouse - 7

NAL IR websiteNAL IR website

NAL IR website NAL IR website

IR - AdvantagesIR - Advantages

New and innovative channel of scholarly communication

Provide wider access and visibility to the research output

Preserves of institution’s heritage Reduce the publication delay

IR – Advantages IR – Advantages (Contd…)(Contd…)

Faster communicationIncrease the citation to the publications Strengthens research especially in the

Indian context Effective communication channelA boon for Gray Literature visibility

IR-Technical BenefitsIR-Technical Benefits

• Free software, therefore appropriate for low- income countries• Easy to establish, technical help available• All IRs are interoperable, conforming to OAI- MPH international standards• Distributed network, shared costs• Searchable by Google, Yahoo and specialised search programs (eg OAIster, SHERPA searches)• Usage (impact) statistics available• If embargo, immediate deposit gives email options

StrategicStrategic Benefits Benefits

Content free to all with access to Internet (Good for readers)

Increases impact of articles (raises visibility of developing country science); increases usage, forges partnerships (Good for authors)

Maximises return on investments (already being mandated by institutes and funding bodies) (Good for funders)

Shows institutional achievement (Good for institutes)

Administrative tool (eg RAE) (Good for institutes)

Already ~900 established

Little change to existing publishing practice – no new models required

Constraints of IRConstraints of IR

Absence of a well defined institutional policy Lack of IR expertise in India Insufficient funds for IT Infrastructure and

manpower Apathy of authors towards time consuming and

lengthy deposition procedure. Ignorance of users in the absence of appropriate

literacy program

Constraints of IR Constraints of IR (Contd…)(Contd…)

Publisher’s rigid attitude towards copyright policy Customization of open source software is a bottle

neck Nature of content: Classified/restricted and

Unclassified/Open Diversity of content and the language used in the

full texts Relying on unproven methods for long term

digital preservation.

IRs for sustainable development?IRs for sustainable development?

A light at the end of the tunnel…..A light at the end of the tunnel…..

Thank youThank you

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