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The CLOCKSS Archive:

Challenges in Digital Preservation

XI International Conference on University Libraries In Mexico City

• presented by Randy Kiefer

The CLOCKSS Archive

In 2006, several of the world's largest scholarly publishers and top research libraries, challenged by the responsibility to preserve digital scholarly assets for the good of the entire community, joined forces to build a global archive for the very long term. Their unique collaboration emphasized community governance and a commitment to open access. Today, CLOCKSS (Controlled Lots of Copies Keep Stuff Safe) is a not-for-profit organization governed transparently and democratically by participants around the world.

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Beginning in 2011- Some benchmarks

• The CLOCKSS Archive as of December, 2010– Number of Library Supporters = 86– Number of Participating Publishers = 33– Number of Archive Nodes installed = 7

• I had worked for a society publisher from 1999 to 2010.– I understood online academic publishing

• I started with CLOCKSS in February 2011

• My first office assistant – Charlie (our Labrador)– 4 kilos

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What are the problems?

• Libraries and publishers move to e-only – Potential space savings– Improves access - 24/7 – Greater number of titles– Increases usage– No physical copy of e-resources– The increasing quantity of published papers

• Different business models– Licensing access (subscription or purchase)– Concerns over permanent access– Concerns over digital preservation

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Principles of the CLOCKSS Archive

Community Governed

Global Approach: Decentralized Preservation

Proven Technology using the open-source software LOCKSS

Commitment to Open Access

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Community Governed

CLOCKSS is designed to share the responsibility of archiving across the global academic community. Publishers and librarians have equal say in deciding procedures, priorities, and when to trigger content. CLOCKSS is committed to a transparent community-based governance structure, to be most sustainable in the future as technologies and priorities change.

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Community Governed

Governing Libraries:

Roxanne Missingham, Australian National University

Peter Schirmbacher, Humboldt University

Brenda Johnson, Indiana University

Jun Adachi, National Institute of Informatics

Chip Nilges, OCLC [Treasurer]

Kerry Keck, Rice University

Michael Keller, Stanford University [Co-Chair]

Ellis Sada, Università Cattolica del Sacro Cuore

Geoff Harder, University of Alberta [Secretary]

Peter Burnhill, University of Edinburgh

Peter Sidorko, University of Hong Kong

Carla Lee, University of Virginia

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Community Governed

Governing Publishers:

Vida Damijonaitis, American Medical Association

Rita Scheman, The American Physiological Society

Alicia Wise, Elsevier [Co-Chair]

Graham McCann, IOP Publishing

Jane Macmillan, Nature Publishing Group

Mark Heaver, Oxford University Press

Carol Richman, SAGE Publications

David K. Marshall, Society for Industrial & Applied Mathematics

Wim van der Stelt, Springer

Ian Bannerman, Taylor & Francis

Craig Van Dyck, Wiley-Blackwell

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Global Approach: Decentralized Preservation

Stewardship and Preservation * Reinforcing Social Value as Memory Organizations * Insuring against Geo-social and Geophysical Risks

Australian National University * Australia Humboldt University – Berlin * Germany

Indiana University * USA National Institute of Informatics * Japan

OCLC * USA Rice University * USA

Stanford University * USA Università Cattolica del Sacro Cuore * Italy

University of Alberta * Canada University of Edinburgh * United Kingdom

University of Hong Kong * Hong Kong University of Virginia * USA

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Global View of Archive Nodes

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CLOCKSS defines its designated community in three parts:

1. The scholars, students and readers of electronic academic content.

2. The libraries who purchase and manage this content on behalf of

the scholars, students and readers.

3. The publishers of this content.

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Services provided to the community

The CLOCKSS Archive delivers services to each component of its designated community by providing a sustainable, geographically distributed dark archive that ensures the long-term survival of Web-based, scholarly publications.

• Scholars, students and readers are provided with free, open access to content that would otherwise have become inaccessible.

• Librarians are reassured that the content which they purchase will remain accessible to their readers.

• Publishers are relieved of the responsibility of providing for access to their content in the event that they no longer do so.

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Proven Open-Source Technology (LOCKSS)

CLOCKSS runs on proven digital preservation technology

• LOCKSS technology has been safely and securely preserving web-published content for over 14+ years and has evolved with web advances to preserve new content types.

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Commitment to Open Access

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Trigger Events include situations of non-availability of archived content in which:

Publisher No Longer in BusinessThe publisher is no longer in business or is no longer in the business of publishing

content or providing access to previously published content and there are no successor interests or reversions or transfers of rights;

Title No Longer OfferedThe publisher has stopped publishing and is no longer providing access to the

content and there are no successor interests or reversion or transfer of rights;

Back Issues No Longer AvailableThe publisher has stopped offering or providing access to some or all of the back

issues of the content and there are no successor interests or reversion or transfer of rights; or

Catastrophic Failure While still publishing content, the publisher is not able to

provide access to the content electronically due to technical or similar catastrophic and permanent failure.

Commitment to Open Access

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Trigger Events are voted on by the Board of Directors• Requires a minimum of 18 YES votes• No more than 2 No Votes

Triggered titles to date• Annals of Clinical Psychiatry - Taylor and Francis• Archives of Family Medicine - American Medical Association (AMA) • Auto/Biography - SAGE Publications• Brief Treatment and Crisis Intervention - Oxford University Press• Graft: Organ and Cell Transplantation - SAGE Publications• JAMA Français - American Medical Association (AMA)• Molecular Interventions - American Society for Pharmacology and Experimental

Therapeutics

What are the Goals of Preservation?

• A lofty goal: preserve record of scholarship– Part of the mission of all research libraries to the world– A responsibility shared by the whole community– Thinking hundreds of years ahead

• A practical goal: keep your access– Part of the mission of your library to your university– A responsibility within your library. Thinking tens of years ahead

Both goals must be served!

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Digital Archiving

• Digital archiving was originally designed for e-journals– Because journals were online first

1995

• Now, Ebooks are growing rapidly “The large majority of academic libraries provide ebooks, and the average number of ebooks available in academic libraries that do provide them was 33,830.“From: "The Growing Importance of Ebooks in U.S. Library Collections”, Sept 2010

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Preservation Concerns for Ebooks?

• Is it just like ejournal archiving?

• What’s different? What’s the same?

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Archiving Costs

• The same for ebooks and ejournals– Good news!– Should make it possible to archive many e-books

for a very low cost

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Differences for ebooks and ejournals

1. Author reversion clause• Publishing rights may revert from the publisher to the author• Approach:

– Maintaining more details – authors, rights – tie in with authoritative databases to chase ownership

2. Location of Files and their Formats• Most ebooks are on various platforms

– The platforms are usually with third parties– Possibly, not all of the collection is in one place

• Various formats – which one to preserve?• Approach :

– Collecting the files, including all formats, directly from the publisher or choosing one of the platforms to harvest. Publishers should maintain a copy of all of their files.

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Conclusion

• Ebook archiving is somewhat different than ejournals– Technical challenge is the same

• The level of detail is greater – The due diligence before trigger is more fragmented

• Author rights • Aggregation contracts

– The market place and business model has not yet settled down in the same way the journal market has. Preservation will continue to adapt.

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Now in 2013

• I have worked for CLOCKSS since February 2011. ( 2 years and 9 months+)

• I have a greater understanding of digital preservation of academic content and the challenges of providing this service to communities CLOCKSS serves.

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Now in 2013 Supporting Libraries = 704 Participating Publishers = 170 Number of Archive Nodes installed = 12

242008 2009 2010 2011 2012 2013

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Supporting Libraries incl GLParticipating Publishers incl GP

Now in 2013

And Charlie is still my office assistant He is now two years old 40 kilos

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Thank You!

Questions or Comments?

Randy Kiefer

Executive Director

The CLOCKSS Archive

mailto: randy.kiefer@clockss.org

XI International Conference on University Libraries

In Mexico City

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Content custody

You or your community The CLOCKSS Archive

Access when Publisher server unavailable

Not available from any source until triggered

Access to whom

Authorized users Everyone when triggered

Preservation technology

Open source LOCKSS Open source LOCKSS

Access fees for content

None None

Governance Stanford & each network

Board of Directors

Summary