case study - institutional repository model: the max planck edoc system the digital library and...

Case Study - Institutional Repository Model: The Max Planck eDoc system

The Digital Library and e-Publishing for Science, Technology, and Medicine, 17.06.04 Geneva

Gerhard Beier (Heinz Nixdorf Center for Information Management in the Max Planck Society)

17 June 2004

Presentation Outline

The Environment – The Max Planck Society The History – Genesis of the eDoc Server The Concepts – Details about the structure The Struggle – Obtaining Content - Measures The Vision – Open Access to research output The Future – from institutional repository to open

access platform

17 June 2004

The Environment

-

The Max Planck Society for the Advancement of Science

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Environment – The Max Planck Society (MPS)

The Max Planck Society for the Advancement of the Sciences is an independent, non-profit organization based in Germany

Organized in 80 institutes dedicated to basic research in the areas of natural science, social science, the arts and humanities

basic research in wide range of research fields, complementary to universities, new, emerging areas of research, interdisciplinary

~ 70 branch libraries, between < 1 and ~ 25 staff no central library unit, administrative position at headquarter

(contracting)

research areas in the MPG

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The position of the Max Planck Society in this field

The eInfo system in the MPS is based upon a dual strategy: 1st pillar: Databases and Journals

MPS wide access to databases and licensed full text information (some content will be locally loaded)= Traditional System of Information Provision

2nd pillar: Innovation in Scholarly CommunicationInstitutional repository approach: eDoc Open Access Platform ProjectOpen Access Journals: e.g. Living ReviewsPrepare and pursue roadmap for the paradigm shift to open access in the Max Planck Society= Shaping the future of the scholarly communication system

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Open Access and the Max Planck Society

The Max Planck Society is taking a leading role in changing the scholarly communication system by moving to open access

Berlin Declaration (issued 22nd Oct 03) as starting point in Germany and Europe to realize open access (today about 40 organizations have signed)http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Follow-up Conference in May 04 at CERN to discuss more thoroughly the roadmap and implementation of Open Access amongst the signatories of the declarationhttp://www.zim.mpg.de/openaccess-cern/

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The History

-

The Genesis of the eDoc Server project

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History & Future of the eDoc project

Prototype system to explore the needs of scholars in a multi-disciplinary research organization conducting basic research

eDoc is used for regular reporting from all Max Planck Institutes (annual report + X)

eDoc is one pillar of the Open Access Strategy of the Max Planck Society

eDoc 2 (2nd generation) is on the horizon and will be part of an open access platform for the MPS

2002

2003

2003

2004-2007

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The Concepts

-

Details about the structure

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Design Philosophy 2002-2003

Rapid prototype solution to create awareness for an institutional repository in the MPS

Early involvement of pilot institutes articulating their needs and requirements to shape system design

No long design phase, but feature driven development - due to commitments (annual reports) rapid feature development

New more generic design of system necessary needed to address all needs and ensure scalability and long-term sustainability

17 June 2004

Organization of the eDoc Server

System is developed and maintained centrally by ZIM Policy questions and copyright issues are attacked centrally

by the ZIM and complemented by local initiatives Administration and content acquisition from

scientists/scholars is done on institute level Institutes have to dedicate staff and time for feeding content and metadata into the system

Multiple interfaces (up- and download) to local systems are provided

Focus Group (eDoc pilots) ensures that the (development of the) system meets the needs of the institutes

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Organization / Responsibilities

Content is submitted to and administered in collections Collections are created in institutes and reflect

organizational structure Collections have a defined policy (scope of material, quality

control etc.) User rights are assigned on collection level Users: local eDoc manager; authority, moderator, metadata

editor, privileged user, depositor (fixed user roles)

Strict quality control process on collection level before content is publicly released by moderator and authority

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Workflow - Quality Control Process

Approval ProcessSubmission Phase Release

Depositor

(Author)

Moderator

Authority

can reject subm. for content

revision

can reject subm. on formal grounds

submits doc

& recommends Access level for fulltext

checks metadata, file format etc.

reviews content

Organization

Quality Review

auth

orize

s&

reco

mm

ends

Acces

s le

vel

for f

ull t

ext

accepts & recommends

Access level

for full text If doc is accepted and authorized:

Metadata are public

public

MPG

Institute level

Internal

Privileged users

Access level for full text

files

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Example - Collections

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Genre Types (document types)

Separation of medium & concepte.g. article will be captured as such irrespectively whether they are published in print or eJournal

List of standard genre types Research and institute specific types can be added No preprint genre type (only status accepted,

submitted, published, unpublished) Article, Book, InBook, Issue, Conference Paper,

Conference Proceedings, Poster, Talk at Event, Conference Report, Lecture/Courseware, Thesis, PhDThesis, Habilitation, Expert Opinion, Patent, Dataset, Software, Interactive Resource, Series, Journal

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Metadata model

Development of an own metadata model for eDoc Dump-down to Dublin Core is possible Existing schemas were considered and naming

conventions applied Idea: generalisation of requirements of very

heterogenuous disciplines

Extension for eDoc 2: Institutes can add their own metadata or even metadata sets (planned)

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Submission

web-based submission Single-form: genre dependent, context-sensitive help Step-by-step: genre dependent, context sensitive help

batch upload of metadata files Upload of XML, Endnote, Reference Manager, Web of

Science records Batch authorization, selection for reports etc. possible

Versioning Document versioning Metadata versioning Withdrawn documents reside on the system

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Web-based submission – single form

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Web-based submission – step-by-step

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Interoperability Features

eDoc specific Metadata format (documented XML schema) -> mapped to DC

OpenURL implemented (addresses MPS SFX server)

Various export formats Endnote, Reference Manager, BibTeX, XML, HTML, PDF, RTF

Interface to MPS CMS for annual reports Imports from XML, Endnote, Reference Manager,

Web of Science (ISI) OAI 2.0 planned for summer 2004

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Advanced Search - Basic

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Advanced Search - Extended

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Administrative Search

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Mark records for basket

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My Baskets

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Export of records

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Exports – citation style

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Example – Document Affiliations

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Contrast - Collections

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The Struggle

-

Obtaining Content – Practical Measures

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Obtaining Content – Practical Steps

Introduction of eDoc was linked to the obligatory annual report – eDoc as the management tool for publication data of the institutes Immediate high visibility amongst all institutes Open Access advocacy and introduction of system was

combined with pragmatic software solution for management of publication data – re-usability of data for reports

MPS strategy of open access firmly supports initiatives like eDoc

Advocacy and extensive support for Institutes by 2-3 people in ZIM team

Import/Export interfaces ensure re-usability of data

17 June 2004

Status Report – eDoc Usage (after approx. one year)

~ 15,000 records on eDoc publicly visible~ 2,600 including full texts / content

public access: ~ 1700

MPS wide access: ~ 200Institute / priv. users: ~ 700

Main Genres:Articles, Posters, Conference Papers, Talks, Books,

PhDThesis, Inbooks, Papers

Potential:Approx. 60,000 metadata records from old annual reports

already uploaded, but not yet publicly available

> 10% Open Access

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eDoc Usage

All Institutes are using eDoc for the transmission and management of data for the annual reports

About 400 registered eDoc users 26 Institutes have already implemented the full

eDoc collection concept in their institutes(This is the pre-condition of releasing publicly records and full texts)

A lot more institutes are discussing internally appropriate strategies how to implement eDoc for their institute

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Reasons for reluctance in usage – and strategies by ZIM

eDoc requires extensive discussions about responsibilities in institutes to organize the process of quality assurance ZIM supports extensively through mails, phone workshops this process

Local librarians criticize the lack of support of their directors for their activities Comprehensive needs analysis and promotion tour in autumn 2004 – visits, workshops, questionnaires, promotional material Steering committee on vice president level ensures communication to institutes

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Reasons for reluctance in usage – and strategies by ZIM

eDoc data cannot be used dynamically on the website of the institute eDoc provides several export formats ZIM addresses building of a real reporting tool by other parties in the MPS

Some institutes still stick to their well-established own system for publication management eDoc is working closely together with them to ensure data integration also on eDoc to be built Open Access platform comprises functionalities not yet covered by eDoc and allows more configurability / personalization

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The Vision

-

Open Access to research material – practical steps to approach the goal

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Open Access to full texts on eDoc

Uncertainty about the legal and political consequences of self-archiving of research results, which are e.g. published in scientific journals Consultancy and support of the Institutes in questions of copyright and publishers’ policies by eDoc support team Open Access Information on eDoc entry page Help on Copyright FAQ page on eDoc Links to Server informing about copyright & publishers Building of an MPS internal database to manage and comment copyright agreements between MPS researchers and journals

Open Access Advocacy and Promotion Creation of a position for MPS Open Access Policy Management on central level

17 June 2004

Need for License

Need for legal security of archiving and dissemination („making public“) under conditions of Open Access (Berlin Declaration)

License to indicate that copyrighted works are free to use but only under certain conditions, chosen by the author

Need for License => Need for preventive education/support for authors and involved staff => Need for supporting infrastructure in the MPS MPS Copyright Clearing Center (short term advice) Dept. For „Open Access Policy“ (strategic negotiations

with publishers on the long term)

17 June 2004

Implementation on eDoc

License is part of a general guarantee of all authors (or authorized author) to the MPS (to minimize liability of the organisation). General Guarantee may include limitation of license due to rights of third parties

Signing of license = offline Attaching license to document = online during

document workflow on eDoc: Moderator (formal approval of record) accepts the entry in the moment

license is signed and checked. He/she attaches access level to full text according to scope of signed guarantee/license

Local Archiving of license

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Open Access in the MPS & Copyright – an overview

Concept in development…

AuthoreDoc license

(Creative Commons)

eDoc moderators at institutes

Open Access Policy Clearing House

Central Administration

eDoc/ZIMCopyright Database

eDoc support

Information / consulting

Implementation eDoc

Information for authors

Administration of licenses

Advocacy

Policies

Legal advice

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The Future

-

From institutional repository to an open access platform

17 June 2004

Lessons learned: introducing an institutional repository

eDoc has hard-coded workflow, user rights, metadata, collections, object model etc. and the software is not extensible new system is required

Needs from institute go beyond that: Collaborating with other researchers (flexible exchange of

documents/objects) Cultural heritage Online projects should rely on same infrastructure

(more complex objects, up- and downloads) Reports need to be addressed by a specialized project Persistent identifier need to be provided Long-term archiving ePublishing Common tools (e.g. display / annotation of images) should be made

available to all institutes Citability of primary research results / datasets needs to be

guaranteed over at least 10 years

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From institutional repository to open access platform…

Externally funded open access platform project planned Goal: Capture external content for integration in Digital

Library Services & expose research output of the MPS and feed into digital networks and scholarly communication services

i.e. move from insular institutional repository system to modular, integrated technical system that provides sustainable and scalable central infrastructure with interfaces for local (global), discipline specific extensions

build sustainable technical infrastructure in cooperation with national service center: FIZ Karlsruhe which has capability of long-term commitment to such an infrastructure and offering as a service to a wide range of institutions and organizations

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Open Access Platform

Storage Backend (sustainable, durable, open, long-term availability) Capture e-documents as complex digital objects Up-and download facilities for collection building Interfaces for external applications (e.g. for zooming,

annotating images) Open Access Portal Web-based comprehensive access to MPS output

(publications, working material, digital collections, eJournals, primary data) and open source software tools

Technical interfaces for dissemination and integration in research specific knowledge spaces, virtual collections or expert databases

17 June 2004

use global

services

eDoc [publications, grey literature,

supplementary material]

incl. work flow (quality

& release management)

OA

I Da

ta P

rovision

MPS Open Access Portal

Global (disciplinary) services (discovery, evaluation, publishing, annotation…)

Object Store (bit-stream preservation)

Archival Service (functional preservation)

local DBs

OAI Data Provision

Global Persistent

Identifier Service

Archival Supplementary Area

local digital collections

(e.g. primary sources)

register and/orprovide

showcases

Showcases Project Registry

Citation (Work) Bench

Digilib Image Viewer

17 June 2004

Thank you for your attention!

Gerhard [email protected]+49-(0)89-3299-1552

http://edoc.mpg.de

A project of the Heinz Nixdorf Center for Informationmanagement in the Max Planck Society

17 June 2004

Metadata Model

genre specificbibliographicinformation

organizational affiliation

administrative

subject classification

document status

external

research project

authoreditortranslatorpainter....

people

subsubunitsubunit

MPG unit

MPG: yes/no

refereeing

Peer ReviewInternal ReviewNo ReviewEditorial Review

pub status

audienceeducational submittedacceptedpublishedunpublished

expertpopular

yes/no

edoc-widecollection specificfree keywords

eDoc Document

role

name

versioning

metadataon metadata

file specificedoc workflow

related docsalt.

resourcereferences

source

17 June 2004

Database on Publisher Copyright Policies & Self-Archiving

Aufbau der Datenbank auf Anregung der eDoc-Piloten Adresse: http://copyright.zim.mpg.de Zielsetzung:

Ergänzung der allgemeinen Standard-Informationen über die Politik von VERLAGEN (Sherpa Datenbank) um kommentierte Informationen und Erfahrungen zur Politik einzelner ZEITSCHRIFTEN

Nutzer: Alle Nutzer in der MPG (IP-check) können lesen und schreiben Institute können sukzessive Informationen zu Verträgen ablegen, die von

Ihren WissenschaftlerInnen unterzeichnet wurden Die Informationen sollten klassifiziert werden, ob Selbst-Archivierung

erlaubt ist und unter welchen Konditionen Langfristiges Ziel:

Instituts- bzw. MPG-weiter Überblick über unterzeichnete Verträge und Vertragsbedingungen und damit konkrete Hilfestellung bei der Frage, ob die Ergebnisse online frei zugänglich gemacht werden können.

17 June 2004

Startseite Copyright Datenbank

Informationen zur Zielsetzung und Links zu anderen

Copyright-Datenbanken

17 June 2004

Nature

17 June 2004

Nature

document: View comment on

document:Press Release: New deal for authors From 14 February 2002 Nature Publishing Group no

longer requires authors to sign away their copyright. Instead, we are asking for an exclusive licence. In return, authors will be free to reuse their papers in any of their future printed work, and have the right to post a copy of the published paper on their own websites. In addition, authors - and the institutions in which they work - will be free to use their papers in course packs. (29.04.2004).

depositor's email: [email protected] last modified: 2004/04/29

17 June 2004

Nature – License to publish

17 June 2004

Browse – Copyright Datenbank

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Search – Copyright Datenbank

17 June 2004

Help – Copyright Datenbank

17 June 2004

eDoc und Autorenvereinbarung

Kontext Autor und eDoc Grundlagen für mögliches Lizenzmodell:

Gutachten zu urheberrechtl. Aspekten bei Einrichtung des eDoc Servers von Prof. Hilty (MPI für geistiges Eigentum)

Vermerk zu rechtlichen Aspekten im Open Access / eDoc Projekt von Ray Rossmann (Rechtsreferat GV)

Creative Commons Lizenz (nach dt. Uhg): • Autoren räumen der Allgemeinheit ein unentgeltliches, nicht-

ausschließliches Nutzungsrecht für Ihre Arbeit ein. Die MPG als Teil der Allgemeinheit nimmt von dem Recht Gebrauch und stellt die Arbeit auf dem eDoc Server zur Verfügung.

• http://creativecommons.org/projects/international

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