Before you start: Strategic Planning and Business Cases


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Making a Case: Explaining the need for a repository / open access journal and the expected benefits. Strategic Planning and Business Cases. Defining Scope
and Planning Checklists.

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Before you start: Strategic Planning and Business Cases

  1. 1. Before you start: Strategic Planning and Business Cases Iryna Kuchma, eIFL Open Access program manager, Presented at “ Open Access: Maximising Research Quality and Impact ” wor kshop, July 22 2009, Kathmandu, Nepal
  2. 2. How to start <ul><li>Making a Case: </li></ul><ul><li>Explaining the need for </li></ul><ul><li>a repository / open access journal </li></ul><ul><li>and the expected benefits </li></ul><ul><li>Strategic Planning </li></ul><ul><li>and Business Cases </li></ul><ul><li>Defining Scope </li></ul><ul><li>and Planning Checklists </li></ul>
  3. 3. How to start <ul><li>A repository Steering Group </li></ul><ul><li>(or Project Board, </li></ul><ul><li>Management Committee, </li></ul><ul><li>Working Group, etc.) </li></ul><ul><li>undertakes the high level management </li></ul><ul><li>of a repository </li></ul><ul><li>on behalf of a Higher Education Institution </li></ul>
  4. 4. How to start 2 <ul><li>Involve key stakeholders : </li></ul><ul><li>University administrators, </li></ul><ul><li>senior management and policy makers; </li></ul><ul><li>academic staff, </li></ul><ul><li>library staff, </li></ul><ul><li>technical support staff, </li></ul><ul><li>other support staff </li></ul>
  5. 5. Assumptions 1 <ul><li>Proposed checklist for the implementation </li></ul><ul><li>of an Institutional Repository (IR) </li></ul><ul><li>Developed by the Department of Library Services </li></ul><ul><li>in the University of Pretoria, South Africa </li></ul><ul><li>Management has approved </li></ul><ul><li>the implementation </li></ul><ul><li>of an institutional repository (IR) (Proposal) </li></ul>
  6. 6. Assumptions 2 <ul><li>2. A server is in place </li></ul><ul><li>to host the IR </li></ul><ul><li>3. An IR Manager (project leader) </li></ul><ul><li>has been identified </li></ul><ul><li>to manage the project – </li></ul><ul><li>and will have to do </li></ul><ul><li>most of the work initially </li></ul>
  7. 7. Activity 1  <ul><li>Assign a project leader (IR Manager), </li></ul><ul><li>and identify members </li></ul><ul><li>to form part of the implementation team </li></ul><ul><li>(e.g. external consultant, </li></ul><ul><li>copyright officer, </li></ul><ul><li>metadata specialist/ head cataloguer, </li></ul><ul><li>digitization specialist, </li></ul><ul><li>2-3 subject librarians, IT etc.) </li></ul><ul><li>  </li></ul>
  8. 8. Activity 2  <ul><li>2. Identify 1 to 4 champions </li></ul><ul><li>to work with initially. </li></ul><ul><li>Involve them in your meetings </li></ul><ul><li>and make them part </li></ul><ul><li>of the implementation team     </li></ul>
  9. 9. Activity 3  <ul><li>3. Conduct a needs analysis </li></ul><ul><li>& compile a needs analysis report </li></ul>
  10. 10. Activity 4  <ul><li>4. Evaluate available software </li></ul><ul><li>and decide on which software to use </li></ul><ul><li>5. Join existing mailing lists </li></ul>
  11. 13. Activity 5  <ul><li>6. Start thinking of a name for the IR </li></ul>
  12. 14. The planning checklists 1 <ul><li>(adaptation from the Repository Support Project, the UK: http://www. rsp .ac. uk / ) </li></ul><ul><li>  Here are the questions to ask yourself:   </li></ul><ul><li>What is an institutional repository </li></ul><ul><li>and what does it mean to you ? </li></ul><ul><li>2. Have you outlined and documented </li></ul><ul><li>the purpose and drivers for institutional repository establishment in your institution ? </li></ul><ul><li>3. Have you defined your vision and initial goals ? </li></ul>
  13. 15. The planning checklists 2 <ul><li>  4. Have you decided how to position your institutional repository within your wider information environment ? </li></ul><ul><li>5. What is the target content of the repository? </li></ul><ul><li>6. Do you have an institution wide intellectual property rights policy ? </li></ul>
  14. 16. The planning checklists 3 <ul><li>7. Do any of your Departments </li></ul><ul><li>already have other digital stores of publications ? </li></ul><ul><li>How will you manage duplication, transfer of resources and metadata , etc.? </li></ul><ul><li>8. Does your institution have </li></ul><ul><li>an information management strategy ? </li></ul>
  15. 17. The planning checklists 4 <ul><li>  </li></ul><ul><li>  9. Have you defined </li></ul><ul><li>roles and responsibilities </li></ul><ul><li>for your institutional repository development? </li></ul><ul><li>10. What sort of statistics and management reports will you want from your institutional repository? </li></ul>
  16. 18. Activity 6  <ul><li>7. Decide on how communities and collections will be structured within the IR </li></ul><ul><li>  8. Define the workflows </li></ul><ul><li>9. Discuss licensing & copyright issues </li></ul><ul><li>with the legal department </li></ul>
  17. 19. Activity 7  <ul><li>10. Compile a business plan </li></ul><ul><li>& present to management </li></ul><ul><li>11. Register project with IT </li></ul><ul><li>& establish a service level agreement </li></ul>
  18. 22. Activity 8  <ul><li>12. Incorporate IR as part of role description for cataloguers & subject librarians </li></ul><ul><li>13. Start working on IR policy , and continue to document all important decisions taken. Also address service definition, open access, copyright, preservation, metadata standards, digitization, selection criteria etc   </li></ul>
  19. 23. The planning checklists 5 <ul><li>11. Have you decided if and how you </li></ul><ul><li>will collect usage and item download statistics for your repository? </li></ul><ul><li>Will you use a tool built into your chosen repository, or an external tool or repository add-on? </li></ul>
  20. 24. The planning checklists 6 <ul><li>12. Have you decided how your institutional repository users will be authenticated ? </li></ul><ul><li>13. Have you defined your metadata requirements and set up an appropriate schema? </li></ul>
  21. 25. The planning checklists 7 <ul><li>14. Have you checked your metadata meets the required standards for interoperability ? </li></ul><ul><li>15. Have you considered the workflows </li></ul><ul><li>within your institutional repository </li></ul><ul><li>and set up appropriate mechanisms </li></ul><ul><li>to deal with incoming content? </li></ul>
  22. 26. Activity 9  <ul><li>14. Identify members which will participate in the evaluation , and present a training session on how to use the software </li></ul><ul><li>  15. IT deploys software on developmental server , implementation team and other role players evaluate, and IR manager forward evaluation report containing requests for changes (e.g. to submission form) to IT Unit </li></ul>
  23. 27. Activity 10  <ul><li>16. IT deploys software on developmental server for the second time, </li></ul><ul><li>implementation team and other role players evaluate, and IR manager forward evaluation report containing requests for changes to IT Unit. </li></ul><ul><li>It could be necessary that the deployment on the developmental server </li></ul><ul><li>has to be tested for a third time. </li></ul>
  24. 28. Activity 11  <ul><li>17. IT deploys software on quality assurance server , implementation team and other role players evaluate, and IR manager forward evaluation report containing requests for changes to IT Unit. </li></ul><ul><li>It could be necessary that the deployment </li></ul><ul><li>on the quality assurance server has to be tested for a second time. </li></ul>
  25. 29. Activity 12  <ul><li>18. IT deploys software on production server , implementation team and other role players evaluate, and IR manager forward evaluation report containing requests for changes to IT Unit. </li></ul><ul><li>Keep on testing until software is flawless. </li></ul><ul><li>19. Create Communities & Collections for champions, and populate in order to demonstrate to library staff and community </li></ul>
  26. 30. Activity 13  <ul><li>  20. Register IR with international harvesters, search engines , </li></ul><ul><li>have it listed on web pages etc   </li></ul><ul><li>21. Start developing a marketing presentation (which can be customized for specific subject areas), marketing leaflets, training material, online help e.g. copyright clearance process </li></ul>
  27. 31. Activity 14  <ul><li>  22. Introduce IR to library m anagement </li></ul><ul><li>23. Introduce IR to library Steering Committee </li></ul><ul><li>26. Introduce IR to library staff     </li></ul>
  28. 32. Activity 15  <ul><li>27. Provide training to subject librarians (Collection Administrators) </li></ul><ul><li>  28. Provide training to Submitters </li></ul><ul><li>(appoint students etc) </li></ul><ul><li>29. Provide training to cataloguers </li></ul><ul><li>(Metadata Editors) </li></ul>
  29. 33. Activity 16  <ul><li>30. Establish the following </li></ul><ul><li>(will replace initial implementation team): </li></ul><ul><li>IR Steering Committee </li></ul><ul><li>IR Policy Advisory Group </li></ul><ul><li>IR User Group </li></ul>
  30. 34. Activity 17  <ul><li>31. Introduce IR to rest of community </li></ul><ul><li>e.g. departments, individuals , etc. </li></ul><ul><li>Also host open sessions over lunch hour, </li></ul><ul><li>use organisational newsletters, </li></ul><ul><li>present at meetings & conferences. </li></ul><ul><li>Negotiate for submitters. </li></ul>
  31. 35. Activity 18  <ul><li>32. Invite all to register new collections . </li></ul><ul><li>Communicate procedure on e.g. IR home page. </li></ul><ul><li>  33. Frequently communicate e.g. via e-mail, monthly newsletter, etc. </li></ul><ul><li>Frequently communicate statistics. </li></ul><ul><li>  34. Launch IR when ready … Invite principal, vice-principals, heads of faculties & departments, other major role players, etc.   </li></ul>
  32. 36. Activity 19  <ul><li>35. Budget each year </li></ul><ul><li>and plan for the following year . </li></ul><ul><li>Keep monitoring server capacity, </li></ul><ul><li>stay updated through mailing lists & reading articles, attending conferences etc. </li></ul>
  33. 38. Sustainability <ul><li>This planning checklist covers resourcing repositories for sustainability. </li></ul><ul><li>  (adaptation from the Repository Support Project, the UK: http://www. rsp .ac. uk / ) </li></ul><ul><li>Here are the questions to ask yourself:   </li></ul><ul><li>Have you properly and fully specified the requirements of your repository? </li></ul><ul><li>What is the anticipated growth of your repository? </li></ul><ul><li>Are you running a pilot project or a production service ? If the former, who, when, if and how will it transfer to a production service? </li></ul>
  34. 39. Sustainability 2 <ul><li>4. Who will answer support/help desk queries relating to the repository? </li></ul><ul><li>5. Have you considered how your repository may grow over the next year, 3 years, 5 years, 10 years ? </li></ul><ul><li>6. Which digital formats can the repository commit to preserve in the longer-term? </li></ul><ul><li>Is the repository collecting author source formats? </li></ul><ul><li>Is there a viable action plan for monitoring the formats stored in the repository and the preservation risks associated with those formats? </li></ul><ul><li>Do you know which tools are available to do this? </li></ul>
  35. 53. Thank you ! Questions ? Iryna Kuchma iryna.kuchma[at]; www. eifl .net The presentation is licensed with Creative Commons Attribution 3.0 License