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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
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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
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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
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Publication ChannelsPublication Channels
Journals
Technical Reports
Conference Proceedings
House Magazines
Institutional Repositories
E-print Archives
Institutional Websites
…….
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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
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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
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Open access increases impactOpen access increases impactNatureNature, vol. 411, No. 6837 (2001) p. 521, vol. 411, No. 6837 (2001) p. 521
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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.
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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
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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 ].
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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
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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.”
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Institutional RepositoriesInstitutional Repositories
Institutionally based
Scholarly material in digital formats
Cumulative and perpetual
Open and interoperable– But not necessarily free!
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IR UsersIR Users
Senior administrationGraduate studentsRetiring professorsUniversity research documentsInstitutes and CentresYour own organization
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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
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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
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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
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Why Establish an IR?Why Establish an IR?
Individual Benefits– Wider distribution– Showcase– Safekeeping– Lowers technology barrier– Time– Persistent URLs
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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
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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?)
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Core FeaturesCore Features
Digital contentCommunity-driven & focusedInstitutionally supportedDurable & permanentAccessible content
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Core FunctionalityCore Functionality
Material submissionMetadata applicationAccess controlDiscovery supportDistributionPreservation
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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
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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)
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StandardsStandards•Metadata Standards
–Dublin Core, SCORM
•Character Encoding standards
–Unicode
•Persistent Identifiers
–CNRI Handles
–DOI (Digital Object Identifiers)
•Harvesting Standards
–OAI-PMH
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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
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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
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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/
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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
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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.
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Institutional RepositoriesInstitutional Repositories
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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. %
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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 %
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Growth of the OpenDOAR Growth of the OpenDOAR Database- WorldwideDatabase- Worldwide
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Usage of Open Access Usage of Open Access Repository Software- WorldwideRepository Software- Worldwide
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Subjects in OpenDOAR - Subjects in OpenDOAR - WorldwideWorldwide
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IR: Core IssuesIR: Core Issues
• Policy Decisions
• Organizational Issues
• Cultural Issues
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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
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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
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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
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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)
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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)
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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
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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”
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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)
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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
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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
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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
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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.
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Scholarly Communication Scholarly Communication ParadigmParadigm
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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
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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)
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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
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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
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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
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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
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Institutional Repositories:Institutional Repositories:Indian ScenarioIndian Scenario
IR Software Dspace – 25 Eprints - 11 Greenstone – 7 Inhouse - 7
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NAL IR websiteNAL IR website
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NAL IR website NAL IR website
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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
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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
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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
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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
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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
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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.
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IRs for sustainable development?IRs for sustainable development?
A light at the end of the tunnel…..A light at the end of the tunnel…..
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Thank youThank you
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