JISC

Date 17 February 2003
Location London

Background

The JISC e-journal archiving study was tasked to scope the feasibility of implementing archiving clauses in the JISC Model Licence as part of the National Electronic Site Licensing Initiative (NESLI) in the U.K. This is now widely used as the basis for negotiation and licensing between UK University and College Libraries and publishers.   Clause 2.2.2 of the Model Licence assumes three possibilities, archiving by the publisher (or a third party nominated by the publisher), archiving by the Licensee (i.e. the individual libraries licensing the content), or archiving by a central archiving facility operated on behalf of UK HE.  Following an analysis of NESLI licences, conducting a survey of libraries involved in e-journal deals, and researching related developments, the final event of the Study was an invitation only workshop held in London on 17 February 2003. 

The purpose of the Workshop was to explore various options for archiving e-journal content in ways which would provide the assurance libraries need before they can confidently move to e-only access, without undermining publishers’ business models.  This also included examining legal issues and business models.  Delegates for the Workshop were selected from as wide an area of constituencies as possible, including not only library and publisher perspectives but also experience of licensing e-journals from both the operational and strategic levels. All members of the JISC Journals Working Group (JJWG), who have overseen the development of the Study, were invited to the Workshop, as were representatives of JISC Committee for Content and Services (JCCS) and JISC (Assisted) Bibliographic Data Services (JIBS). The Association of Learned and Professional Society Publishers (ALPSP) and the Publishers Association (PA) were also invited to send representatives. Tom Graham chaired the Workshop, both in his capacity as Chair of the Consortium of University Research Libraries (CURL) and Chair of the JJWG.

Workshop report

An Executive Summary of the Workshop, with points of agreement and recommendations are provided below.  The powerpoint  presentations made at the workshop, the reports of three breakout sessions covering organisational models, legal issues, and business models respectively,  and the full list of delegates appear as attachments to the Executive Summary. 

Executive Summary

Major points of agreement

• Any solution must be collaboratively achieved between publishers and libraries (and possibly more widely than this).
• A distributed network of library and publisher repositories linked and co-ordinated by a central service(s) was seen as the most feasible implementation of a “central archiving facility operated on behalf of UK HE”.
• Publisher’s servers are probably the best means of gaining access to content in the short-to-medium term. Library repositories are the best means of ensuring the guarantee of access and the medium to long-term preservation of content.
• Another entity needs to be established as a central service to ensure ongoing long-term access and guarantees. A crucial part of the network would be a service to handle the rights management and ensure access is secure and abides by licence terms agreed between publishers and libraries.
• Content used by UK HE is often produced by international publishers. It was recognised pragmatically that responsibility for ensuring continued access will need to be nationally based but will need to operate in an international context.
• Responsibility for ensuring continued access independently is unlikely to be cost-effective and sustainable for individual libraries in the U.K.

Recommendation

Establish a Steering Group comprising representatives from libraries and publishers to undertake planning and advocacy for a centrally co-ordinated service.   The service would operate on a not-for-profit basis and encompass the elements summarised by breakout groups 1 and 2 and consider a business model suggested by breakout group 3.  It will be necessary to test the business case and model more rigorously during the planning period.

Responsibility  PALS (a joint JISC, ALPSP, and PA working group with participation from the British Library).

Timeframe Steering Group to be established ASAP to ensure the momentum is retained. Timeframe for reporting to be negotiated within PALS but will need to be long enough to incorporate relevant progress in related developments but short enough to enable a funding proposal for 2004.

The workshop

Twenty six invited delegates attended a one-day Workshop in London on 17 February 2003 aimed at deciding on a practical way forward in implementing the archiving clauses in the JISC Model Licence.  It was recognised that this was potentially an important future issue for the proposed UK Research Library Network, for collaboration between the sector and UK copyright libraries and publishers, and with international initiatives.  The morning sessions focussed on a series of presentations exploring the legal, organisational and business issues to be decided.  Key issues arising out of these presentations were that compliance issues are extremely complex if handled retrospectively by an archiving service for material licensed to individual Higher Education Institutions. Organisational models considered the risks and benefits of different models, as well as the option of deferring action on the basis that it was too premature, given the early stage of archiving developments.  The presentation on business models worked through a model which began with establishing the purpose and scope of the archive.  The funding strategy was suggested as a combination of public funding, contribution in kind, and fees. All presentations reinforced the need for active co-operation and collaboration between libraries and publishers in finding a mutually acceptable solution.

Breakout sessions in the afternoon explored these issues in more detail and concluded that it is possible to embark on a collaborative planning process for a hybrid model.   This model envisaged that a central service would provide a co-ordinating role in negotiation of guarantees and secure access and rights management mechanisms, but with delivery being distributed over a range of options, including the publishers’ servers.  The latter were generally seen as realistic options, at least for the short to medium term.  The issues of rights management, trust, and mechanisms for achieving the guarantee of continuing access in such a system were however seen as critical.  It was also recognised that this option would benefit from the rigour of a formal business modelling process, such as that outlined in the presentation on business models, together with studies to test and demonstrate the benefits and value proposition for publishers and libraries.  It was recommended that a steering group be formed, under the overall direction of PALS (a joint JISC, ALPSP, and PA working group with participation from the British Library).  This should develop the model to the stage where funding could be sought for the service, possibly under the aegis of a future Research Libraries Network.  It was agreed that of the three options proposed by the Model Licence (Publisher archive, individual institution, and central archiving service), the publisher archive and archiving by the Licensee are not considered sustainable in the long-term.  A modification of the central archiving service was proposed, which would centrally co-ordinate the service but provide distributed delivery. 

Note: After the Workshop, it was interesting to note that the views of a sustainable solution for the UK seemed to closely match ideas published independently in the USA in discussions on the National Digital Information Infrastructure and Preservation Program (NDIIPP) plan and appendices.

Neil Beagrie and Maggie Jones 28/2/03

Workshop delegates

Toby Bainton                                        SCONUL

Ian Bannerman                                     Blackwell Publishing

Neil Beagrie                                          JISC

Richard Boulderstone                            British Library

David Brown                                        British Library

Margherita Caccavale                           EPS

Andy Crowther                                     Elsevier

Anne Foster                                          EPS

Emanuella Giavarra                               CWG

Tom Graham                                         University of Newcastle

Alan Hopkinson                                     Middlesex University

Andy Hyde                                           Consultant

Simon Inger                                          Simon Inger & Associates

Karen Jeger                                          University College London

Clare Jenkins                                        Imperial College, London

Maggie Jones                                        JISC

Tony Kidd                                             University of Glasgow

Diana Leitch                                         John Rylands University, Manchester (JRULM)

Peter Morgan                                        University of Cambridge

Sally Morris                                          ALPSP

Tony O'Rourke                                      IOPP

Martin Richardson                                 OUP

Jean Sykes                                            London School of Economics

Malcolm Taggart                                   Keele University

Jill Taylor-Roe                                       University of Newcastle

Deborah Woodyard                               British Library