1、Topic 5： Scholarly Communication, Open Access and the Role of Repositories,Rick Luce May 10, 2009,学术交流，开放式存取 及机构典藏库的作用,At the Beginning of the Information Age 信息时代之初,Absorbing and distilling disruptive new technology - - takes a few generations (e.g., printing press)Three stages of technology change
2、 （技术变化的三个阶段） Modernization e-journals （现代化） Uptake of systems like Amazon into scholarly publishing systems Do things we couldnt do before （做以前未能做的事） Personalization, visualization, collaboration support Transformation （转型） Real gains in application of technology requires social-organizational chang
3、e & a systems perspective,Rick Luce, HKUL May 2009,Evolving Science and the Emergence of eScience 科学的演变以及 eScience 的出现,Thousand years ago: Empirical science Experimentation describing natural phenomena 实证科学,Today: Data exploration / Data science synthesizing theory, experimentation and computation w
4、ith advanced data management and statistics new algorithms 数据探索/数据科学,Last few decades: Computational science simulating complex phenomena计算科学,Last few hundred years: Theoretical science Using models, generalizations 理论科学,Rick Luce, HKUL May 2009,A Serial Model of Research and Scholarship 学术研究过程模式,数据
5、搜集 开发和分析 出版,Discovery & analysis,Publishing,Data collection,The New Parallel Model 新的并行模式,Registration establish intellectual priority,Awareness ensure accessibility,Archiving preserve for future use,Certification certify quality & validity,Rewarding evaluate & reward performance,Systems for scholar
6、ly communication 学术交流系统,Rick Luce, HKUL May 2009,意识,认证,回报,注册,存档,价值链,Who Plays What Role? 角色扮演,registration,awareness,archiving,certification,rewarding,Repository, metadata creation, credentialing, long term stewardship 典藏库，元数据生成，认证， 长期管理,Data sets 数据集 Registries 注册系统,Preprints 预印本 Web harvests 网页数据挖
7、掘 Conference proceedings 会议录,Rick Luce, HKUL May 2009,Changes in the Value Chain （价值链的变化）,Old New,Rick Luce, HKUL May 2009,Citizen Science 公民科学,Skyserver is posterchild in 21C data publishing (380 million web hits in 6 years (because they made data available). Skyserver 是21世纪数据出版的典型代表Citizen science
8、: Galaxy zoo. Dutch school teacher Hanny van Arkles Voorwerp (discovery). World wide telescope, 2.2M users in two months.公民科学：星系动物园， 全球望远镜,A Model in Crisis （面临危机的模式）,Subscriptions rise faster than library budgets. No freedom for new journals in new and emerging fields. 订购费超过了图书馆经费的增长。无法自由地订购新兴邻域的期刊
9、。 University library cant subscribe to all journals that staff published in, not to mention conference proceedings and workshops. Thus institutional repositories become inevitable. 图书馆 无法订购所有刊载大学教员文章的期刊，更不用说会议录和工作坊资料。 机构典藏库成为必然。,A Model in Crisis （面临危机的模式）,Web effect and visibility of research makes
10、 institutional research repositories inevitable, using Google scholar. (Google Scholar Rank). www.webometrics.info/top200.asp Directory of world repositories at www.webometrics. 互联网的功效以及为增加研究的能见度的需要，使机构典藏库成为必然。 Requests for ETDs grew from around 220K in 1997-98 to nearly 20M in 2006-07. See Virginia
11、 Tech ETD. 对电子学术论文的需求增加,The bewildering new world of scholarly communication 令人困惑的学术交流新领域,Library users increasingly prefer the convenience and power of electronic access, but expect such access to be unlimited in scope. 图书馆用户希望无限制地使用任何电子资源Publishers who impose access restrictions and pricing struct
12、ures that often comprise a form of restraint. 出版商却设置限制和价格结构来阻碍使用Administrators who must exercise budgetary discipline and hold spending within acceptable limits. 行政人员必须合理使用经费,Rick Luce, HKUL May 2009,The bewildering new world of scholarly communication 令人困惑的学术交流新领域,Researchers have generally been we
13、ll insulated from these problems largely through the efforts of libraries. 由于图书馆的努力，研究人员通常对这些问题一无所知 Result: researchers unfamiliar or indifferent to the broader issues of scholarly communication - until their favorite journal is cancelled or access is lost due to budget cuts. Then the library become
14、s a focal point for grievances about loss of service.,Rick Luce, HKUL May 2009,Driving the Need for Change 变化动因,Serials Crisis beyond damage control, now in 4th decade 期刊危机 Costs: 成本 1990-2000 STM =11% average annual increase in USA STM prices significantly higher than other disciplines Prices for c
15、hemistry journals 22x higher than for music (1990), an increase of 15 times since 1980 Commercial companies: driven to increase profits Reed Elsevier 75% profit increase 1994 -1998 Issues not only with for-profits (e.g., Chemical Abstracts, IEEE),ISI databases,Source: www.ala.org/Content/NavigationM
16、enu/Products_and_Publications/Periodicals/American_Libraries/Selected_articles/charta.htm,Rick Luce, HKUL May 2009,期刊价格与通胀指数的比较 （1984-2001）,What is Driving the Need for Change? (变化的动因),Publisher mergers: leading to reduction of competitors出版商合并：导致竞争对手减少3. Permission Crisis: 许可危机Legal - copyright & l
17、icensing contracts法律-版权及和约许可 Increasing tendency to treat knowledge as “intellectual property” is inconsistent with traditional gift exchange scholarly values.知识： 知识产权 vs 礼物交换 Some rights generously granted by the Journal of the American Chemical Society: “Authors may distribute or transmit their ow
18、n paper to not more than 50 colleagues. Authors may post the title, abstract (no other text), tables, and figures from their own papers on their own Web sites.” 出版商慷慨地授予作者某些权利,Serials Crisis 期刊危机,Scholarly Publishing Structural Problems 学术交流结构问题,Impact barriers 影响的障碍 Authors give away their content
19、and want to achieve impact not income作者无偿发表自己的文章以便增加影响而非收入 Authors want to disseminate research widely作者希望广泛地传播其研究成果 But publishers want to restrict circulation based on subscriptions 出版商却通过订购方式来限制流通 Access barriers 使用的障碍 Researchers want easy access to the literature研究者希望能够轻易地使用文献 But most research
20、ers do not have easy access to most of the literature多数研究者却无法轻易使用大部分文献 * Raym Crow The case for institutional repositories: a SPARC position paper. 2002.,Six Key Issues about the Crisis in Scholarly Communications 学术交流危机中的 6个主要问题,The current scholarly exchange system is not sustainable 非持续性的学术交流机制 c
21、osts far exceed average increases in library budgets. 成本经费增长 A problem for decades libraries have achieved only limited solutions. 图书馆只能提供有限的解决途径 Some libraries are looking into assuming some publishing responsibilities, to circumvent or compete with costly publishers. 参与出版 Not a serials crisis, rat
22、her a broader crisis in scholarly communications (greatest pressure is in scientific serials). 学术交流中广泛的危机,Adapted from: Cornell University Library - Issues in Scholarly Communication, Ross Atkinson,Six Key Issues about the Crisis in Scholarly Communications 学术交流危机中的 6个主要问题,The problem cannot be solv
23、ed only by increasing library budgets. 单靠图书经费的增加无法解决问题 Library acquisitions budgets have generally increased above inflation. Some publishers use demand for e-access to further increase their control and prices.按需使用进一步增加出版商对电子资源的控制和收费 The core of the crisis is neither economic nor technical, but cul
24、tural: driven primarily by the publishing conventions of the academy. 危机的关键并非经济或技术，而是在于文化方面： 受到学术出版的传统惯例的驱使,Adapted from: Cornell University Library - Issues in Scholarly Communication, Ross Atkinson,Open Access 开放式存取,Open Access has - at least in the library world - long been seen as a possible sol
25、ution to the serials pricing crisis. 可能是解决期刊价格危机的途径Looking back ten years, despite huge developments in infrastructure and debate, but a real change in the scholarly information chain does not seem to be any nearer. 学术信息链中真正的变化似乎还很遥远It is now widely accepted that the commitment of scholars is essent
26、ial in bringing forward the desired change. 学者的承诺是驱使变化发生的主要动力,Open Access a few developments 发展项目,Budapest Open Access Initiative - self archiving & oa journals Berlin declaration on Open Access to Knowledge in the Sciences and Humanities (2003) “to promote the Internet as a functional instrument fo
27、r a global scientific knowledge base and human reflection and to specify measures which research policy makers, research institutions, funding agencies, libraries, archives and museums need to consider.” 230 organizations all over the world have signed the Declaration N.B. Declaration is not just co
28、ncerned with text publicationsNIH deposit mandate SCOAP3 Sponsoring Consortium for Open Access Publishing in Particle Physics - linking quality + price to stimulate competition,Application to Open Access,The more successful open access becomes, the more irrelevant our traditional view of library bud
29、gets will be 开放存取越成功，传统意义上的图书馆经费就变得越不相关It is an issue of institutional economics, not library economics 这是机构经济而非图书馆经济的问题We cant underestimate how radical these shifts will be这些变化的剧烈程度不容低估Fundamentally will alter library roles会从根本上改变图书馆的角色,Some implications for libraries 对图书馆的启示,Institutional reposit
30、ories: making it safe for today & leaving a legacy for future generations 机构典藏库 Requires long-term institutional commitment 需要长期的机构承诺 Librarys role - metadata tagging, formatting / reformatting 图书馆的作用- 元数据标记，格式化/重新格式化 Provide new tools to generate new metrics based on user behavior, which support a
31、multi-dimensional assessment of quality: 提供新工具，基于用户行为，生成新的计量方法，以支持多元化的质量评估 Recommendation systems with shared knowledge models 具备共享知识模式的推荐系统 Access to review comments 访问审核意见 Enhanced impact and citation analysis methods 经改进的影响和引文分析方法,Institutional Repositories 机构典藏库,Digital collections and services
32、that capture and preserve the intellectual output of university communities. Ryam Crowe, Case for Institutional Repositories, SPARC, 2002用以被捕获和保存大学的知识产出的数字资源和服务 And that means: Institutionally defined 机构范围内的Scholarly 学术性的Cumulative and perpetual 累积并永久保存的Centralized management 集中管理Open and interopera
33、ble 开放及可共同操作和使用的,Key Lessons 重要教训,The key challenges are cultural, not technical主要的挑战是文化性并非技术性的 Scholarly practices differ across communities and disciplines学术实践因不同的社群和学科而异 Academic departments are not natural epistemic communities学术部门不是自然的认知社群 Epistemic communities are dynamic while archival system
34、s assume stability认知社群是动态的，而典藏系统却是稳定的,Selected Repository Platforms 典藏库平台举例,Eprints: Caltech Collection of Open Digital ArchivesBEPress: eScholarship (California Digital Library)Dspace: Dspace (MIT)Successful IR are a partnership of: IR的成功是以下人员的合作结果：IT staff 信息技术人员 Library staff 图书馆员 Faculty / resea
35、rchers 学院教师和研究人员,Definitions 定义,Preprint = Caveat Emptor 预印本 Informal peer feedback weighed differently than formal referee reports与正式的专家评审报告不同的非正式的专家意见 E-prints: authors deposit papers or drafts into an electronic archive - thereby speed up the communication process 电子印本：作者将文章或草稿寄存到一个电子档案里， 以加快交流的进
36、程 Gives authors control over distribution of their work in the form of author self-archiving systems 让作者自己通过自我存档系统传播其作品 Submittal for formal publication follows laterif desired by author 之后再正式提交发表,28,arXiv.org author monthly submission rate作者月提交率,Total submissions = 531,303,Ginsparg starts in 1991 -
37、 new form of communication emergesDriver is speed, turnaround . author control over distribution, accessPublishers pressured to adopt electronic modelsIncreased communication + lower costs = wide acceptanceLed online-only e-journal revolution,Rick Luce, HKUL May 2009,Data Publishing & Repositories o
38、n the Grid 网格上的数据出版和典藏库,Authoring - describing the context of data collection for machines and humans 编辑 描述机器和人类数据收集的背景 Who assembled the package, who owns it, origination location 谁组合这些包裹， 谁拥有它，起源地点在哪里 Where does it go, what does it contain, conditions of access 它去向何方，包含什么， 使用的条件是什么？,Data Publishin
39、g & Repositories on the Grid 网格上的数据出版和典藏库,Digital curation centers store, manage, preserve data for long term use 数字典藏中心 储存，管理，保存数据以便长期使用 Metadata requirements customized for different kinds of data by information experts working with scientists 信息专家和科学家共同为不同种类的数据制定元数据要求 Software creating metadata i
40、s integrated with instruments and sensors for collecting data 将元数据生成软件与收集数据用的工具和感应器整合为一体 Scientists prepare data sets for archiving with 1-2 clicks 科学家准备数据集，点击1-2下便可典藏,Critical eResearch issues for libraries 关于 eResearch 的重要问题,Data publishing on the grid 网格上的数据出版 Data curation - long term knowledge
41、& culture preservation 数据典藏 长期知识和文化保存 One of the most vital and yet rapidly changing functions Ensuring quality of information and archiving research data Machines - the next generation of readers 机器-下一代读者 Machines will “read“ those new and old optimized book collections Facilitating global user wor
42、kflows 促进全球用户工作流程 Collaboration enlarging research boundaries and blurring disciplinary boundaries Enhancing the user experience - sense making提升用户经验 意义建构,Rick Luce, eScience, 11/14/08,Concluding thoughts looking ahead 结论远瞻未来,We must do much more than aggregate and provide access to digital scientif
43、ic information . Our job now is to wire peoples brains together so that sharing, reasoning, and collaboration become part of everyday work. 我们的工作不但是积累和提供数字科技信息供用户使用 而是借网络连接人们的头脑，让分享，思考和合作成为我们日常工作的一部分。 Rick Luce, Bits, April 1998,Research libraries are where our social networks and technology network
44、s overlap 研究图书馆：社交网络与技术网络的交汇处,Rick Luce, ARL/CNI eScience, 10/16/08 #21,EXERCISE 练习,At your table, discuss: How might even more dramatic changes in scholarly communication and open access impact your library?学术交流和开放存取中的更剧烈的变化会如何影响到你的图书馆？ 2. Outline a strategy to respond to these changes?概述应对这些变化的策略What arguments might be raised in opposition to your strategy and how would you respond?这些策略会引起什么相反的争论？你将如何去回应 ？,
