Project Preparation Open Access Platform Meeting of Project

Project Preparation Open Access Platform Meeting of Project Partners on Preparation of Funding Application 8 Mar 2004 Munich Status: 7 Mar 2004, Th. V

PART 1: Introduction

Agenda for 8 Mar 2004 11 – 11: 30 Introduction • • current status and roadmap of project preparation • MPS Steering Committee, meeting with BMBF on 18 Feb 2004 • Roadmap Funding application aims of this meeting: develop common understanding of aims of the project and interests& strengths of partners; plan for writing project application 11: 30 – 12: 30 MPS View 1. 2. 3. 4. clarification of project aims and scope; phases (what, when) interface to e. Lib project main tasks and responsibilities thoughts on project organization and collaboration 12: 30 – 13: 00 FIZ View 1. 2. 3. 4. role and contribution to project (strengths, previous experiences to build on, (new) strategic interests) interface to e. Lib project main tasks and responsibilities thoughts on project organization and collaboration 13: 30 – 15: 15 Discussion 1. 2. project structure & workpackages responsibilities and project organization 15: 15 – 16: 00 Plan for writing project application Heinz Nixdorf Center for Information Management Seite 3

Roadmap Project Preparation March – May 2004: • Funding Application • Project Description [start: 8. 3. ] • Finance Plan [Wolhorn/Velden] Issues: • Detailed project aims definition and approval by MPS SC • Interface to and synchronization with e. Lib project • Project organization • Project Organization • Roles & responsibilities • Decision processes (project management, steering committee) • Procedures (communication, meetings, project review methods, development process/methodology) • Memorandum of Understanding between MPS and FIZ-KA Heinz Nixdorf Center for Information Management Seite 4

Roadmap Project Preparation June - August 2004: • Assumption: Positive reaction of BMBF to funding application by June 2004; official project start: September 2004 • Project Kick-off Meeting MPS/FIZ-KA [date t. b. d. ] • Initiate project bodies: steering committee ? User committee ? • Set-up joint information and communication infrastructure (MPS, FIZ-K) • Cooperation Agreement MPS & FIZ-K • Preparation of Outreach and Information Audit in MPS (ZIM) Heinz Nixdorf Center for Information Management Seite 5

Timeline: Project Application Open: -when check with BAR ? -when confirmation of detailed project aims by MPS SC ? se au W Kr en, d rn el en ) e ho , V ld ? (V l e t( eh. -W af irat KA r, V M h e dr e ZBF , Sc al. B FI mm t i rn s BM etz si te is vi Sch g n W M : in st i ar ell, B: et 1 FIZ e M fu : m r BM ar ar. : 16 ck M M. d Ap Su 22 25 1 t. b or lh o n n) de l n sio is 23 r: Ap m ub s PS M SC n io iss m b su y: a M 5 BF 1 BM MPS Libraries Easter KW 11 KW 12 KW 13 KW 14 KW 15 KW 16 KW 17 KW 18 KW 19 KW 20 KW 21 KW 22 KW 23 Apr May

Part 2: View MPS

Project Phases Global view on project evolution. Identification of major events/decision points. Heinz Nixdorf Center for Information Management Seite 8

Timeline Inst. Repository and OA Portal Build-up Part 1 Extensions Selection Part 2 Realization Knowledge Spaces 2004 2005 2006 2007 2008 2009 Heinz Nixdorf Center for Information Management Seite 9

Overview Project Phases Part 1: Open Access Platform Phase 0: Project Preparation [Feb – Aug 2004] Milestone: Project Application [May 2004] Phase 1: Main Study & Detailed Project Planning [3 rd Q 2004 – 1 st Q 2005] Milestone: Realization Plan, Project Re-definition [Jan 2005] Phase 2: Design and Development [1 st Q 2005 – 3 rd 2006] Phase 3: Implementation [3 rd Q 2006 – 2 nd Q 2007] Part 2: Scholarly Communication, Knowledge Spaces Phase 0: Project preparation [3 rd Q 2006 – 2 nd Q 2007] Milestone: Need analysis, Project definition and selection Phase 1: Detailed Project Planning [3 rd Q – 4 th Q 2007] Phase 2 + 3: Realization [1 st Q 2008 – 2 nd Q 2009] Note: this phase view is only an idealized representation of the actual project evolution. As the project is complex, not all project parts will necessary be in the same phase, and phases may be closely interrelated due to necessary iterations. Still this phase view is meant to provide some orientation and will be partly determined by important decision points or milestones. Heinz Nixdorf Center for Information Management Seite 10

2004 pr ic pl ap n at io is m b s n io su c je o pr t Pr -d oje ef ct in iti on re fo rm re at qu io n co st irem au d m at m e ent it In on of a s ob the naly titu te je s ct art sis m od el in op oje er ct at ini io t n iati ag on re em. co g in fu nd Overview Phase 0 + 1 e rt ta s t or p re Mar Apr May Jun Jul Aug Sep Oct Nov Dec | Jan Feb Mar 2005 st e e itt m om n c g isio in c er de

Project Aims Heinz Nixdorf Center for Information Management Seite 12

Project Aims: Open Access Platform for MPS General Aims Provision of a sustainable common infrastructure and services which 1. Facilitate and accelerate the creation, use and visibility of open access content of the MPS 2. Provide persistent access to MPS research output 3. Can be re-used by other research organizations and scientific information projects worldwide 4. Can be build on to integrate information in knowledge spaces and support new practices of scholarly communication 5. 6. (Focus Part 1, 2004 -2007) Realization of knowledge spaces and scholarly communication environments that support research communities in realizing new scholarly communication practices and demonstrate the benefits of the open access paradigm (Lighthouse Models) 7. (Focus Part 2, 2007 -2009)

Project Aims: Open Access Platform for MPS Project Aims (Part 1) • OA Portal: single point of entry to oa resources made available by MPS (integrating institutional repository content, local content, primary sources, other forms of organization of scientific output) • provide persistent access to MPS oa content & high visibility in and outside MPS • replace e. Doc 1 with re-designed institutional repository (possibly with closely integrated local instances), complement with supplementary material support • provide a framework which will enable use and re-use of sw or business model components for other scientific projects (incl. a set of common services like global persistent identifiers, common user administration, tools like digilib, metadata modeler, citation & reporting service etc. ) • enable various modes of representation of MPS oa content (classifications, special collections, libraries…) • meet standard requirements for long term preservation (bit stream preservation a must, implications from functional preservation according to MPS strategy and available technologies to be explored, e. g. capture of md with contextual information) • serve as data provider to interested services, incl. v. Lib

Global (disciplinary) services (discovery, evaluation, publishing, annotation…) OAI Data Provision Institutional Arch. Showcases Supplementary Area Project Registry MPS Open Access Portal Citation (Work) Bench Global Persistent Identifier Service OAI Data Provision e. Doc [publications, grey literature, supplementary material] Digilib Image Viewer us se e gl rv o b ice al s register and/or provide showcases incl. work flow (quality local DBs local digital collections & release management) (e. g. primary sources) Object Store (bit-stream preservation) Archival Service (functional preservation)

Project Aims: Open Access Platform for MPS Project Aims (Part 2) • Vision: from e-publishing and digital libraries to integrated information spaces and work environments (bmbf) • Light House Models for Open Access based scholarly communication and knowledge spaces (technical realization, service definition, open source software tools, business models). • Possible realization strategy: parallel to subject integration in MPS (e. g. Astronomy, High Energy Physics, Earth System Sciences)

Project Aims: OA Platform Part 1 Functional Boundary Conditions Technical Time Architectural Model Architecture • common object model by mid 2005 (? ) • replace e. Doc 1 by end of 2006 • analysis of overall architecture • Extendable and scalable system model (highly modularized) • Homogenous System architecture (only a few different, well selected technologies) • Services/Interfaces usable by other systems on all layers (should be transparent for external system) [e. g. LTA, PID] • Well-defined (external and internal) Interfaces • On top of basic functionality (Document handling, persistency layers) higher level services Financial • within project budget Human resource • user bodies • advisory bodies; decision processes • ZIM team, FIZ team • coop. with Institutes Strategic • decision on relevance of the various business cases • emphasis on os sw • availability of ready-made solutions • political, short-term changes in priorities • involvement in initiatives and international collaborations Common Services • general object model • object store (bit stream pres. ) • global persistent identifier • common nomenclatur: e. g. class. schemas • Digi. Lib, other shared tools • user management, workflow model, cataloging module, metadata modeler • interface to LTA services e. Doc 2 • central inst repository with integrated local instances • re-use, additional scenarios (t. b. c. ) OA Portal • (meta) search • presentation • discovery OA Portal Services • OAI services (harvester, data provider) • citation and reporting service • oa resource registry Interface D-Grid • derive requirements for grid services • evaluate how grid services will influence basic architectural set-up Documentation • Well documented (Design, Implementation, Usage and operation) - extensibility and longevity Independence from proprietary SW • Independent of special commercial products (does not mean not to use commercial products, but to make it possible to substitute them, e. g. by open source ones) to Performancebe further elaborated Migration… Practices Business Models Policies, Practices • critical mass of content • standard use of oa license (CC) • checklist requirements for local systems for integration with oa platform • Evaluation, adaptation and implementation of strategy for Long Term Availability for institutional repository component Business Models • services FIZ for other inst. • MPS internal BM for use and sustainability of oa platform services • Hosting concept, service contract for MPS oa platform @ FIZ (incl. migration strategy to external host) Outreach • local marketing band support by Institutes • central marketing and support by ZIM/FIZ • Comprehensive overview on local collections and oa resources/projects

Project Aims: Issues • interface to e. Lib: organizational and technical dependencies • scope o What content ? e-documents, supplementary material, primary source collections from humanities, processed data (images…), raw data o Integrated interface for MPS researchers to all available information assets (‘v. Lib 2’) ? o Comprehensive integrated work space for MPS researcher ? o Digital Library or Scholarly Communication Framework ? o Institutional Repository fed by mediators or framework for MPS scientists/research projects to effectively communicate their research results ? o e. Doc 2: also to support community collections and e-journal/e-series production ? • re-usability: business cases, different levels of re-use, implications for development (strategy, time frames, resources…) • aims of 2 nd phase: knowledge spaces, scholarly communication services/environments Heinz Nixdorf Center for Information Management Seite 18

Business Cases for Sub-Products core business case e. Doc 2 medium priority, review OA Portal Citation & Report Service low priority, unlikely business case Global Persistent Identifier service Digi. Lib Common Object Model Central impl MPS (incl. poss. local components) Re-use at Institutes Offer by FIZ to other research institutions Global distribution as os a) Passiv b) Active Heinz Nixdorf Center for Information Management Seite 19

Integrated e. Info System v. Lib OA Portal e. Lib external content Primary source collection e. Doc institutional repository Global ID Primary source collection Digi. Lib other authentication Object Storage Long Term Archiving Heinz Nixdorf Center for Information Management Seite 20

Integrated e. Info System Search Portal, Catalogues, Display interface Digital object identifier, automatic locator provider External OAI Interface Institutional repository Yearbook E-doc, Upload Interfaces 250 subject collections Export Interfaces provider Primary Source collection External Applications External Storage backend Long-term Archive, Backup, Migration Heinz Nixdorf Center for Information Management Seite 21

Major Technical/Scientific Tasks Heinz Nixdorf Center for Information Management Seite 22

Technical/Scientific Tasks – Part 1 • Digital object model with following characteristics (MPS (lead)+FIZ) Valid to wide range of digital objects of research information (loaded journal data, document types of institutional repository, primary source collections, pointers to primary data etc. ) • Support for relevant behaviours (distributed services) • Dissemination capabilities to provide public access to digital objects in an interoperable and extensible manner (to support external applications and plug-ins that allow community/discipline specific interpretation of and interaction with (annotation etc. ) of objects) -> probably too ambitious • Robustness with regard to system migration FEDORA digital object architecture, MPEG-21 DIDL … • • Specification and implementation of strategy for long term availability (FIZ (lead)+MPS) Capture/creation of persistence metadata • Creation of open and standardized archival version -> too ambitious (we cannot control the data we get) • Interpretation and adaptation of OAIS recommendations • Interfaces to (external) LTA services OAIS, Greenstone Digital Library, Collaboration with Kompetenznetzwerk Langzeitarchivierung … • Heinz Nixdorf Center for Information Management Seite 23

Technical/Scientific Tasks – Part 1 • Institutional repository module connecting research results with supplementary material and relevant primary data sets to allow validation of results -> Requirement definition – definition of usage scenarios -> review of current e. Doc implementation and concepts (MPS) • • e. g. CODATA efforts for citing primary data [meeting @ TIB Hanover on 26 May 04] Need Analysis (MPS) o Information audit on open access platform and expectations/ideas from institutes. o Requirement Definition and needs analysis for report / website generator as fundamental service for all institutes o Requirement Definition and needs analysis for statistic/downloads/citation tool for institutional repository • • OAI Set definition and set management to feed into global, discipline specific information services + exploration of other technologies used to integrate institut. with disciplinary approaches (MPS) • Open Archives Initiative Identification and requirements for GRID services (FIZ) Heinz Nixdorf Center for Information Management Seite 24

Project Organization Project bodies, decision processes, project supervision, project management, reporting, collaboration To a certain extend these questions have to be already clarified and described for the project application, further details should be laid down in a cooperation agreement before the official project start. Heinz Nixdorf Center for Information Management Seite 25

Organizational Structure Preliminary BMBF reports MPS steering committee Project Steering Committee (FIZ & MPS) User group (institutes) Strategic Decisions Project Manager to be appointed Helmes ? guides, monitors FIZ ZIM Velden ? Developm. MPS Reqmnts Natasa Gerhard Project Team: PM & WP owners Heinz Nixdorf Center for Information Management Seite 26

Part 3: Discussion Project Structure, Workpackage Definition, Responsibilities

Project Structure project, smallest unit ‘work package’. Reference point for ‘Pflichtenheft’, estimates of effort (duration, resources). Heinz Nixdorf Center for Information Management Seite 28

Project Structure MPG Open Access Platform Architectural Model Common services e. Doc 2 General object model Inst rep. Central instance Global Persistent ID Service Inst. rep. Local instance Object Store ? Interface to LTA ? Classification schemas Shared Tools: e. g. Digi. Lib Metada Modeler User Management Workflow Model Cataloging Module Further Usage Scenarios Portal Services Search Local DBs (OAI harvester) Presentation Citation & Report Service Discovery Project Registry Global / Discipl. integration Practices Business Models

Description of WPs • Name, position within project structure • Description of expected result/deliverable • Approach • Pre-conditions/Dependencies • Problems, critical points • Task owner WP Size: ~ 5 – 25 PM Assumption: total project size (Part 1) = 450 PM Heinz Nixdorf Center for Information Management Seite 30

Part 4: Plan for preparation of funding application

Back-Up Heinz Nixdorf Center for Information Management Seite 32

Structuring the Project, WP Definition by activity • research, need analysis • requirement definition • conceptual design • technical design (testing) • development (testing) • implementation (testing) • packaging, marketing… ? by products • shared infrastructure [SHIF] o o Object model User management Authentication Interface to long term archiving services • common services [COS] o Digi. Lib instances o PID service… • institutional repository [IRE] • open access portal [PORT] • oa portal services [OAPS] o Project registry o Citation bench o OAI Harvester • business models [BUSM] • oa practice [PRAT] Work package definition: 1 st product, sub-product, then activity e. g. shared infrastructure (SHIF), object model, research WP SHIF 1. 1: survey state of the art object model WP SHIF 1. 2: requirement definition object model… Heinz Nixdorf Center for Information Management Seite 33

applicationh Roadmap Application Introduction, Vision Project plan 29 Mar: 1 st draft BAR 4 feedback ? 1 May: Submission SC 14 May: Submission BMBF 1 Apr: BMBF meeting Project organization Finance plan Confirm aims D-Grid Mo. U 16 Mar: Visit FIZ-KA 1 st draft KW 11 KW 12 KW 13 KW 14 KW 15 KW 16 KW 17 KW 18 KW 19 KW 20 KW 21 KW 22 KW 23 Apr May

Project Plan Temporal succession, duration, dependencies of work packages. Note: At this early point of project this can be done only on a relatively high level. Will need to refined for For Phase 1: before its start, 1 Sep 2004 For Phases 2+3: Feb 2005 Presentation: PERT Diagram (flow chart)/’Netzwerkplan’ Gantt Chart/ ‘Balkendiagramm’ Heinz Nixdorf Center for Information Management Seite 35

Project Phases 2 nd Q 2004 Phase 0: Project Preparation 3 rd Q 2004 4 th Q 2004 1 st Q 2005 Funding application Project initiation (kick-off) Official Project Start Phase 1: Detailed Planning need analysis, object model, citation bench Project Definition Review 2 nd Q 2005 Phase 2: Design, Development 3 rd Q 2005 4 th Q 2005 Milestones: t. b. d. 1 st Q 2006 2 nd Q 2006 3 rd Q 2006

Timeline Application 8 Mar 2004: 1 st project meeting (project aims, structure) [ZIM, Schimmer, Helmes, Razum] t. b. d. : follow-up meeting (work package definition) 16 Mar 2004: visit FIZ-KA, meeting with Bruenger-Weilandt (memorandum of understanding, cooperation, finances, status e. Lib project, organization oa platform project) [Suckfuell, Velden, Schimmer] 25 Mar 2004: FIZ Beirat (Velden) t. b. d. : Mehlhorn – Krause (BMBF) Meeting 1 Apr 2004: Meeting Bonn BMBF (discussion early application draft, particular focus: finances, cooperation of partners) [Wolhorn, Velden, Metz, Schoening-Walter] t. b. d. : check application draft with BAR 15 Apr 2004 [fall back: 30 Apr 2004]: submission draft application to MPS steering committee 1 May 2004 [fall-back: 15 May 2004]: target date for submission of application to BMBF [mandatory by 31 May 2004] Heinz Nixdorf Center for Information Management Seite 37