Council on Library and Information Resources (CLIR)

Association of Research Libraries (ARL)

Survey on E-Journal Archiving Programs

Spring 2006

Conducted by Cornell University Library

Research and Assessment Services

Thank you for agreeing to participate in an assessment of the leading e-journal archiving initiatives. We have endeavored to complete as much of the information below from publicly available resources. Please review this information to determine its accuracy. The survey form will also help you prepare for the phone interview. If you have the time, you may wish to correct and complete the rest of the form prior to our discussion and return it to us; if not, we’ll use the interview to do so. This information will be used to prepare our final report for ARL and CLIR. However, if there is particular information you do not wish to share with a broad audience, please so note it and we’ll omit it from the final report. Please feel free to attach any documentation that addresses the questions posed, so noting the attachments on the form itself.

Organization:

Web Site:

Date at which e-journal archiving program responsibility began:

Principal(s) Interviewed:

Name:

Title:

E-mail:

Phone:

Name of Interviewer:

Date of Interview:

A. Organization

A.1. Organizational Commitment

A.1.a. Does your mission explicitly commit you to long-term e-journal archiving?

( ) Yes

( ) Not sure

Comments:

A.1.b. In 2 to 3 sentences, how do you define e-journal archiving?

A.2. Governance and Legal Issues

A.2.a. How would you characterize your organization? (check all that apply)

[ ] National library

[ ] Open membership/subscription organization

[ ] Limited membership/subscription organization

[ ] Consortium

[ ] Third-party organization

[ ] Other:

Comments:

A.2.b. Do you have a governance board?

( ) Yes

( ) No, but plan to within next 6 months

( ) Not sure

Comments:

If yes, how are the members selected?

A.2.c. Do you have the following kinds of external advisers? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Technical advisory committee

[ ] Selection/content advisory committee

[ ] Publishers group

[ ] Member/user groups

[ ] Consultants

[ ] Other:

Comments:

A.2.d. Is your program part of a national legal deposit requirement?

( ) Yes

( ) Not sure

( ) Not applicable

Comments:

A.2.e. Do you address intellectual property issues as they relate to your e-journal archiving program?

( ) Yes

( ) Not sure

Comments:

A.2.f. Do you have the following audit processes in place? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Technical

[ ] Business practice

[ ] Financial

[ ] Other:

Comments:

A.2.g. As the community completes defining requirements for certification, will you seek to become a certified repository?

( ) Yes

( ) Not sure

Comments:

A.3. Documentation

A.3.a. Do you have the following written documentation that explicitly refers to e-journal archiving? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Mission Statement

[ ] Publishers Agreements (producer/archive agreements)

[ ] Membership Agreements

[ ] Selection/Acquisition Policies

[ ] Transfer Requirements and Deposit Guidelines

Technical Policies that explicitly refer to e-journal archiving for:

[ ] Ingest

[ ] Archival Storage

[ ] Quality Control

[ ] Auditing

[ ] Data Management

[ ] Disaster Planning/Recovery

[ ] Preservation Planning

[ ] Metadata

[ ] Access and Use Policies

[ ] Financial Reports

[ ] Annual Reports

[ ] Other:

Comments:

A.3.b. Are you willing to share with us copies of existing documentation?

( ) Yes

Comments:

A.4. Standards and Community Practice

A.4.a. Do you follow any of the following standards and best community practices for archiving? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Open Archival Information System (OAIS) Reference Model

[ ] Trusted Digital Repositories: Attributes and Responsibilities

[ ] Preservation Metadata Implementation Strategies (PREMIS) or any other metadata standard

[ ] OAI-PMH (Open Archives Initiative Protocol for Metadata Harvesting)

[ ] Journal Archiving and Interchange DTD

[ ] An Audit Checklist for the Certification of Trusted Digital Repositories

[ ] Open-source software

[ ] Open file formats

[ ] Non-proprietary storage technology

[ ] Other:

Comments:

A.5. Succession Planning

A.5.a. Do you have a succession plan in the event you are not able to continue your program?

( ) Yes

( ) Not sure

Comments:

If yes, what arrangements have you made?

B. Stakeholders/Designated Communities

B.1. General

B.1.a. On whose behalf is your content being archived?

B.2. Publishers

B.2.a. Do you have a published list of publishers?

( ) Yes

( ) Not sure

Comments:

If yes, where is this list?

If no, which publishers are included in your program?

B.2.b. Are you expecting to add more publishers?

( ) Yes

( ) Not sure

Comments:

If yes, is this information made public?
( ) Yes
( ) No
( ) Not sure

Comments:

B.2.c. Do publishers have any voice in the governance/operation of your e-journal archiving program? (Check all that apply.)

[ ] Yes, in governance

[ ] Yes, in operation

[ ] No, in neither

[ ] Not sure

[ ] Not applicable

Comments:

B.2.d. Are your agreements with publishers:

( ) Fixed duration

( ) Open-ended/indefinite

( ) Not sure

Comments:

If fixed, what is the duration?

B.2.e. Do your agreements with publishers allow you to continue to archive content even if the publisher is sold or merges with another company?

( ) Yes

( ) Not sure

Comments:

B.2.f. Are the publishers relying on you as their sole archiving solution?

( ) Yes

( ) Not sure

Comments:

If no (i.e., if publishers are not relying on you as their sole archiving solution), describe what else they are doing for preservation:

B.2.g. What are the arrangements in the event a publisher chooses to terminate its participation in your e-journal archiving program?

B.3. Designated User Communities

B.3.a. How do you define your designated communities?

B.3.b. In 2-3 sentences, what benefits do your designated communities receive?

B.3.c. Do libraries or other subscribers have any voice in the ongoing governance/operation of the e-journal archiving program? (Check all that apply.)

[ ] Yes, in governance

[ ] Yes, in operation

[ ] No, in neither

[ ] Not sure

[ ] Not applicable

Comments:

B.4. Others

B.4.a. Do you have any relationships with other archiving organizations involving the following activities? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Exchange ideas and strategies

[ ] Share planning documents

[ ] Share software

[ ] Coordinate content selection

[ ] Reciprocal archiving/off-site storage/mirroring

[ ] Secondary archiving responsibility

[ ] Shared facilities/resources

[ ] Other:

Comments:

B.4.b. Do you or would you be willing/able to serve as a successor archive if another archive failed?

( ) Yes

( ) Not sure

Comments:

B.4.c. Are those beyond your designated communities able to have access to content in the event of publisher failure or some other trigger event?

( ) Yes, now

( ) Maybe in the future

( ) Not sure

( ) Not applicable

Comments:

B.4.d. Do you have relationships with any of the following third parties that relate to your e-journal archiving program? (Check all that apply; if you plan to within the next 6 months, indicate this with a P.)

[ ] Abstracting/indexing services

[ ] Consolidators

[ ] Aggregators

[ ] Standards bodies

[ ] Government agencies

[ ] National libraries

[ ] Software developers-open source

[ ] Software developers-commercial

[ ] Nonprofit/professional organizations

[ ] Access infrastructure provider

[ ] Other:

Comments:

C. Content

C.1. E-journal Content

C.1.a. Do you have an up-to-date list of the journal titles and the date spans included in your program that is available to the public?

( ) Yes

( ) No, but plan to within next 6 months

( ) Not sure

Comments:

If yes, where is this list?

If no, which titles and dates are included?

C.1.b. How many titles are represented?

C.1.c. Do you expect to add more journals?

( ) Yes

( ) Not sure

Comments:

If yes, do you have a list of potential journals that is publicly available?

C.1.d. Which of the following journal content types and features does your e-journal archiving program include? (Check all that apply.)

[ ] Research articles

[ ] Internal linking

[ ] Book reviews

[ ] Letters to the editor

[ ] Lists of editorial board members

[ ] Copyright statements

[ ] Journal descriptions

[ ] Advertisements

[ ] Reprint information

[ ] Editorials

[ ] News and announcements

[ ] Errata

[ ] Supplementary materials, including supporting data

[ ] Covers of corresponding print editions, if applicable

[ ] Special features associated with publisher websites, like discussion forums

[ ] Other:

Comments:

D. Access and Triggers

D.1. General Access

D.1.a. What access is currently provided to your users? (Check all that apply.)

[ ] Online access is provided

[ ] On-site access is provided

[ ] Moving wall

[ ] Access for auditing/verification

[ ] Dark archive, but metadata access is provided

[ ] Dark archive (no access until a trigger event occurs)

[ ] Other:

Comments:

If moving wall, describe:

D.2. Trigger Events

D.2.a. Does access to content change in the event of a trigger?

( ) Yes

( ) Not sure

Comments:

If yes, under what circumstances? (Check all that apply.)

[ ] Publisher ceases operation or fails and content is no longer available from another source

[ ] Publisher no longer offers back issues to everyone and content is no longer available from another source

[ ] Expiration of copyright

[ ] Journal ceases publication and content is no longer available from another source

[ ] Catastrophic failure of publisher’s traditional access mechanism

[ ] Temporary failure of publisher’s traditional access mechanism

[ ] Other:

Comments:

D.2.b. When an access trigger event occurs, describe the nature of access provided?
(Check all that apply.)

[ ] Not applicable

[ ] Online viewing access

[ ] Full download capability

[ ] Keyword or subject search

[ ] Full-text search

[ ] Access by journal title, volume, issue, and page

[ ] Other:

Comments:

D.2.c. In the event of a trigger event requiring access provision, which of the following would occur? (Check all that apply.)

[ ] Not applicable

[ ] Archive will provide direct online access

[ ] Subscriber access will automatically be switched from publisher/aggregator to archive

[ ] Subscriber must manually switch access from publisher/aggregator to archive

[ ] Online access responsibilities will be transferred to another entity

[ ] Subscribers/members will have the option of taking over stewardship of the content

[ ] Other:

Comments:

D.2.d. What is the anticipated ramp-up period from the time the trigger occurs until access becomes available? (If not applicable, answer “N/A.”)

D.2.e. Do you have (or do you have a contingency plan to rapidly provide) the capacity, including network bandwidth, to supply online access to a large number of users in the event of a major publisher failure?

( ) Not applicable

( ) Yes

( ) Not sure

Comments:

D.2.f. Have you tested your systems to ensure that proposed access mechanisms will function to expected usage levels when a trigger event occurs?

( ) Not applicable

( ) Yes

( ) Not sure

Comments:

E. Technology

E.1. Ingest Policy and Practice

E.1.a. How do you obtain content for the e-journal archive? (Check all that apply.)

[ ] Source files provided by publisher

[ ] Rendition/access files provided by publisher

[ ] Content harvested via the Internet (Web or ftp site)

[ ] Other:

Comments:

E.1.b. Do you validate the completeness of content upon ingest?

( ) Yes

( ) Not sure

Comments:

If yes, how?

E.1.c. Do you validate the integrity of content upon ingest?

( ) Yes

( ) Not sure

Comments:

If yes, how?

E.1.d. Do you have ingest requirements for file formats and other content received from publishers?

( ) Yes

( ) Not sure

Comments:

If yes, what are they?

E.1.e. What file formats are you able archive? (Check all that apply.)

Text formats and page description languages

[ ] Plain text

[ ] HTML

[ ] SGML

[ ] XML

[ ] PDF

[ ] Postscript

[ ] TeX

[ ] Other:

Still images

[ ] TIFF

[ ] JPEG

[ ] PNG

[ ] JPEG 2000

[ ] GIF

[ ] SVG

[ ] Postscript

[ ] EPS (Encapsulated Postscript)

[ ] Other:

Others

[ ] Sound file formats (e.g., aiff, mp3, ogg vorbis, MIDI, QuickTime, Realmedia)

[ ] Moving-image file formats (e.g., AVI, MPEG-4, Flash, QuickTime, Realmedia)

[ ] Not sure

[ ] Other:

Comments:

E.1.f. Do you test for and document the ongoing integrity of the archived content?

( ) Yes

( ) No, but plan to within next 6 months

( ) Not sure

Comments:

If yes, how?

E.1.g. Do you intend to retain the appearance (“look and feel”) as well as the content of ingested material?

( ) Yes, for all formats

( ) Yes, for some formats

( ) Not sure

Comments:

If yes, describe:

E.1.h. Do you intend to retain the functionality of interactive content (e.g., spreadsheets, multimedia)?

( ) Yes, for all formats

( ) Yes, for some formats

( ) Not sure

Comments:

If yes, describe:

E.1.i. Are your systems Unicode compliant?

( ) Yes, completely

( ) Yes, partially

( ) Not sure

Comments:

If partially, describe:

E.1.j. What specialized content encodings are you able to archive? (Check all that apply.)

[ ] Table markup

[ ] Mathematical symbols

[ ] Chemical formulas

[ ] Archaic scripts or ideographs (e.g., Egyptian or Mayan hieroglyphs)

[ ] Musical notation

[ ] Other:

Comments:

E.2. Archiving and Disaster Planning

E.2.a. Which of the follow e-journal archiving strategies do you/will you use? (Check all that apply.)

[ ] Migration

[ ] Emulation

[ ] Normalization

[ ] Reliance on standards

[ ] Refreshing

[ ] Use of durable media

[ ] Not sure

[ ] Other:

Comments:

E.2.b. Which of the follow e-journal archiving strategies have you conducted? (Check all that apply.)

[ ] Migration

[ ] Emulation

[ ] Normalization

[ ] Reliance on standards

[ ] Refreshing

[ ] Use of durable media

[ ] Not sure

[ ] Other:

Comments:

E.2.c. Do you use any of the following redundancy procedures? (Check all that apply; if you plan to within the next 6 months, indicate this with a P)

[ ] Local backups

[ ] Mirror sites

[ ] Off-site storage

[ ] Not sure

[ ] Other:

Comments:

E.2.d. How many copies of your content do you maintain?

E.2.e. Do you have written procedures and protocols designed to minimize vulnerability to the following threats? (Check all that apply.)

[ ] Malicious attacks (e.g., hacking, malware, vandalism, physical intrusion)

[ ] Natural disasters (e.g., flood, fire, earthquake)

[ ] Infrastructure failure (e.g., power outage, HVAC failure, water-containment failure, building fire)

[ ] Other:

Comments:

F. Resources

F.1. Funding Sources and Cost Model

F.1.a. What is your source of funding to ensure long-term access to e-journals?

(Check all that apply.)

[ ] Appropriations

[ ] Endowment

[ ] Member/subscriber fees

[ ] Publisher support

Grants/contributions from:

[ ] Individuals

[ ] Organizations

[ ] Government agencies or departments

[ ] Private foundations

[ ] Professional associations

[ ] Corporations (other than publishers)

[ ] Other:

Comments:

F.1.b. Is financial information about your archiving effort publicly available?

( ) Yes

( ) No

( ) Not sure

Comments:

F.2.  Resource Allocation

F.2.a. In the event of a trigger event requiring provision of access, do you also have resources to cover the costs of providing general online access to the designated community?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

If no, how will additional funding be acquired? (Check all that apply.)

[ ] Additional fee borne by designated community

[ ] Additional appropriations or one-time monies

[ ] Solicitations from other entities (name):

[ ] Other:

Comments:

F.3. Membership/Subscriber Policies and Fees

F.3.a. What are members’/subscribers’ responsibilities? (Check all that apply.)

[ ] Pay the fees

[ ] Provide hardware/software

[ ] Provide technical expertise

[ ] Manage some aspect of content/functionality

[ ] Manage some aspect of access

[ ] No responsibilities

[ ] Not sure

[ ] Not applicable

[ ] Other:

Comments:

F.3.b. How do you determine the cost of joining up?

( ) Not applicable

( ) Fixed price

( ) Sliding scale, describe:

( ) Other model:

Comments:

F.3.c. Is there a discounted price for consortia or library systems?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.d. Do membership/subscription fees cover specific titles or the full service?

( ) Not applicable

( ) Specific titles

( ) Full service

( ) Other:

Comments:

F.3.e. Is the cost of growth in content and new publications included in subscriptions or is it additional?

( ) Not applicable

( ) Included

( ) Additional

( ) Not sure

Comments:

F.3.f. Do you have incentives for early joiners?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.g. Do you have disincentives for joining later?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.h. Do you have a mechanism to ensure fair distribution of costs amongst all institutions that will benefit (i.e., dissuade “free riding”)?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.i. Have you or would you lower the cost of membership/subscription if costs dropped or additional income was received (e.g., from more members or outside parties)?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.j. If two member institutions merged, could it roll over its archived content to the new entity?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

F.3.k. If a member withdraws, does it receive anything from the archive?

( ) Not applicable

( ) Yes

( ) No

( ) Not sure

Comments:

If yes, describe:

 

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