towards interoperable archives: the Universal Preprint Service initiative herbert van de sompel
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1 towards interoperable archives: the Universal Preprint Service initiative herbert van de sompel University of Gent - Central Library Interconnectivity 2000 November 1-2, Stellenbosch, South Africa acknowledgements the Council on Library and Information Resources the Digital Library Federation SPARC & the American Research Libraries Los Alamos National Laboratory - Research Library
2 theory 5 input considerations lead to a conclusion (a personal interpretation of the discussions on the transformation of scholarly communication) practice the Universal Preprint Service Initiative (an initiative to promote preprint solutions)
3 theory i1. the information chain A P U B S U B digital? L I B R consideration: disintermediation value chain: only links that add value survive endangered: equity of access opportunities: create optimal communication mechanism
4 theory i2. the established journal system accessibility registration certification awareness archiving serials crisis no registration only delay & supressing of ideas who does the digital archiving? rewarding stabilizer
5 theory i3. theoretical models deconstructed journal (Smith ) decoupling of registration and certification institutions as collectors/distributors of their author s uncertified writings subversive proposal (Harnad ) author self-archiving
6 theory i4. implemented models xxx e-print archive (Physics Los Alamos - Ginsparg) NCSTRL (Computer Science - Cornell U - Lagoze) CogPrints (Cognitive Sciences - Southampton U - Harnad) NDLTD (Theses - Virginia Tech - Fox) RePEc (Economy - Surrey U - Krichel) high accessibility - registration - no certification
7 theory i5. evidence from economics The Innovator s dilemma (Christensen ) sustaining versus disruptive technologies; disruptive technologies somehow perform worse than established ones, but they are convenient, cheap, disruptive technologies can create competition in an existing value network by creating a new one first;
8 theory o1. main conclusions decouple registration and certification: create free information layer of non-certified information promote - commercial - overlay services, amongst others addressing certification free layer via institutional involvement through libraries; libraries can add value to the digital information chain by repositioning in the information chain, becoming archivers of non-certified information authored by institutional authors
9 theory o2. another information chain company commercial information layer A R library free information layer
10 theory o3. other ways to address the functions accessibility registration certification awareness archiving rewarding high availibility: free layer retrievability: free & commercial layer author via an institutional process commercial layer fast & no supressing of ideas free layer: institutional commercial layer: (?) mechanisms based on free & commercial
11 practice the Universal Preprint Service initiative The Universal Preprint Service initiative has been set up to create a forum to discuss and solve matters of interoperability between preprint solutions, as a way to promote their global acceptance. Paul Ginsparg, Rick Luce & Herbert Van de Sompel
12 practice the Universal Preprint Service initiative The transformation of scholarly communication is not only a political/sociological/economical matter. Technology is important: How should preprint archives be architected? How to achieve a level of compatibility between archives, both discipline-oriented and institution-based? How to integrate the free layer and the commercial layer? Technical means to introduce alternatives for the rewarding function?...
13 practice the Santa Fe UPS/1 meeting 10/21-22/99 Supported by: ARL, CLIR, DLF, LANL Library, SPARC Goals: enable the creation of a cross-archive end-user service make recommendations on the architectural design of archive solutions in order to facilitate the creation of such services Discussion stimulated by the creation of an experimental cross-archive prototype
14 practice the UPS/1 participants (1) Caroline Arms Les Carr Eric Celeste Mark Doyle Dale Flecker Edward Fox Mike Friedman Paul Ginsparg Paul Gherman Stevan Harnad Thomas Krichel Carl Lagoze Rick Luce Library of Congress University of Southampton & CogPrints MIT the American Physical Society Harvard University Virginia Tech & NDLTD HighWire Press & Stanford University Los Alamos National Laboratory & xxx Vanderbilt University & SPARC University of Southampton & CogPrints University of Surrey & RePEc Cornell University Los Alamos National Laboratory
15 practice the UPS/1 participants (2) Clifford Lynch Coalition for Networked Information Kurt Maly Old Dominion University Deanna Marcum CLIR Michael Nelson NASA Langley Heath O Conell Stanford SLAC/SPIRES John Ober University of California Bill Parks Washington University & EconWPA Herbert Van de Sompel University of Ghent Eric Van de Velde Caltech Don Waters The Andrew W. Mellon Foundation Ken Weiss University of California
16 proto who? coordination: herbert van de sompel, michael nelson, thomas krichel involvement of: Old Dominion U & NASA Langley U of Surrey U of Ghent Los Alamos National Laboratory - Library Russian Academy of Science - Siberian branch
17 proto sponsors Los Alamos National Laboratory - Research Library JISC elib WoPEc project
18 project datasets metadata only full text remains at archives static dumps obtained ca. July 99 the arxiv CogPrints NACA NCSTRL NDLTD RePEc Total objects 85, ,036 29,184 1,590 73, ,142 full-text 85, ,036 9, , ,535
19 proto project activities conversion of metadata to ReDIF re-creation of archives using intelligent data-objects called buckets creation of NCSTRL+ end-user service addition of SFX linking services
20 proto DEMO
21 results data providers & data implementers fundamental distinction between: data providers take care of archive functions: submission, maintenance data implementers provide end-user functions: search interfaces,
22 results open archives machine interface submission mechanism archive native end-user interface
23 results open, harvestable archives cross archive cross archive service providers archive archive data providers
24 results harvest protocol & criteria subset of Dienst protocol: ask an archive for its subdivisions harvest data from these subdivisions harvest criteria bulk accession date subject author affiliation material type
25 results metadata formats resulting from harvest Internal format of the archive (RFC1807, ReDIF, Refer, MARC, ) Santa Fe Set: Dublin Core compliant minimal set identifier (archive, id) author, author affiliation title accession date abstract subject date for user comment refereed
26 results Santa Fe Convention Architectural concept Technical recommendations Gentlemen s agreement between providers and implementers: providers describe conditions for usage of the data implementers describe their usage of the data Will be implemented by all existing and future archives represented in Santa Fe Already very positive reactions from other archives Short story in Science Magazine, Friday October 29
27 thank you Find up-to-date information on UPS at Check out the experimental proto at
28 UPS protoproto Initiated by Herbert Van de Sompel, Michael Nelson & Thomas Krichel Supported by LANL Library, elib Data from xxx, NCSTRL NDLTD, NASA, CogPrints, RePEc Architecural choices: distributed archives N open archives M digital library services intelligent metadata integration with established system via SFX A discussion model for UPS 1
29 commericial overlay citation searches peer review journal paper S6 S7 S8 meta C O M M full text search citation searches F peer comment S1 S2 S3 meta integrate with commercial overlay R E E
30 institution based ASA Institution: institutional adaptation of rewarding function natural extension of the prepublishing habit beyond early adopter disciplines the addition of a level of author-authentication to submissions concern about the institutional brand which might encourage institutions to impose a certain level of quality control to its output Library: ethical incentive to ensure the right for information existing international infrastructure and cooperation should be best motivated to archive the institutional output know-how that guarantees a formal quality of the output extension of the ongoing creation of the institutional bibliography
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