Open access repository: How to set it up in 22 steps

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Making a Case: Explaining the need for a repository & the expected benefits; Strategic Planning & Business Cases; Defining Scope & Planning Checklists; Policies

Making a Case: Explaining the need for a repository & the expected benefits; Strategic Planning & Business Cases; Defining Scope & Planning Checklists; Policies

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  • 1. Open access repository:How to set it up in 22 stepsIryna KuchmaOpen Access Programme managerPresented at “New Trends for Science Dissemination”,ICTP – Trieste, Italy, 27 September 2011www.eifl.net Attribution 3.0 Unported
  • 2. Making a Case: Explaining the need for a repository & the expected benefitsStrategic Planning & Business CasesDefining Scope & Planning Checklists Policies
  • 3. Step 1Start with a repository Steering Group(or Project Board, Management Committee,Working Group, etc.) that undertakes the highlevel management of a repository on behalfof the institutionInvolve key stakeholders: seniormanagement and policy makers, academicstaff, library staff, technical support staff,other support staff
  • 4. Which departments or unitswithin your institution haveactively advocated theestablishment of a repository?88% library28% Information Technology department18% administration16% academic departments14% research office
  • 5. Assumptions 1-31. Management has approved theimplementation of an institutionalrepository (IR) (Proposal)2. A server is in place to host the IR3. An IR Manager (project leader) has beenidentified to manage the project – and willhave to do most of the work initially(Proposed checklist for the implementation of an InstitutionalRepository Developed by the Department of Library Servicesin the University of Pretoria, South Africa)
  • 6. Step 2Assign a project leader (IRManager), and identify members toform part of the implementationteam (e.g. external consultant,copyright officer, metadataspecialist/ head cataloguer,digitization specialist, 2-3 subjectlibrarians, IT etc.)
  • 7. Step 3Identify 1 to 4 champions to workwith initially.Involve them in your meetings andmake them part of the implementationteam
  • 8. Step 4Conduct a needs analysis & compilea needs analysis report(Example: Needs Analysishttp://wiki.lib.sun.ac.za/images/b/b9/Needs_assessment.pdf)
  • 9. Step 5Evaluate available software anddecide on which software to use.Join the mailing lists.
  • 10. Steps 6-96. Start thinking of a name for the IR7. Decide on how communities andcollections will be structured withinthe IR8. Define the workflows9. Discuss licensing & copyrightissues with the legal department
  • 11. workflows
  • 12. Which statement best describesthe process of depositing ofmaterials in the repository? 33% material to be collected by staff members or librarians independently of the authors or researchers; 30% researchers and authors provide content to specialised staff members or librarians to deposit into the repository; 17% self-depositing by researchers and authors with quality control by specialised staff members; 13% self-depositing by researchers and authors with no quality control by specialised staff members.
  • 13. The planning checklist1. What is an institutional repository andwhat does it mean to you?2. Have you outlined and documented thepurpose and drivers for institutionalrepository establishment in yourinstitution?3. Have you defined your vision and initialgoals? (adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)
  • 14. The planning checklist (2)4. Have you decided how to position yourinstitutional repository within yourwider information environment?5. What is the target content of therepository?6. Do you have an institution wideintellectual property rights policy?
  • 15. The planning checklist (3)7. Do any of your Departments already haveother digital stores of publications? Howwill you manage duplication, transfer ofresources and metadata, etc.?8. Does your institution have an informationmanagement strategy?
  • 16. The planning checklist (4)9. Have you defined roles &responsibilities for your institutionalrepository development?10. What sort of statistics &management reports will you want fromyour institutional repository?
  • 17. Step 10Compile a business plan and present tomanagement.Examples:Proposal:http://wiki.lib.sun.ac.za/images/3/3f/Proposal.pdfBusiness Plan:http://wiki.lib.sun.ac.za/images/2/2c/Business_plan.pdfImplementation Timeline: http://bit.ly/oysMEX
  • 18. Steps 11-1211. Register project with IT & establish aservice level agreement12. Incorporate IR as part of role descriptionfor cataloguers & subject librarians
  • 19. Step 13Start working on IR policy, and continue todocument all important decisions taken. Alsoaddress service definition, open access,copyright, preservation, metadata standards,digitization, selection criteria etc
  • 20. Sample policyThe [repository title] is an OA repository with a setof services to capture, store, index, and provideaccess to scholarship produced by [name of theinstitution]. The repository, coordinated by [name ofthe university department that coordinates theproject] offers worldwide access to a wide variety ofworks: conference proceedings, monographs, bookchapters, peer-reviewed journals and articles,publicly funded research, reports, theses anddissertations, working papers and learning objectsare some examples of the scholarly outputrepresented in the repository.
  • 21. Sample policy (2)Powered by [software which you use], the aimof the repository is to improve disseminationand visibility of a variety of scholarly materialsthroughout the academic communities andgeneral public and to provide a free andpersistent point of access. The Repositoryprovides a robust, statewide platform forsaving, discovering and sharing—free of charge—the instructional, research, historic andcreative materials produced by [name of theinstitution].
  • 22. ( B 6 ) P le a s e in d ic a t e w h ic h f ile f o r m a t s a r e a c c e p t e d a n d p r e s e r v e d :80706050 A c c e p te d40 P re se rve d302010 0 F EG FF FF L F F Ot 3 r? I x ML ML AV GI CI d MP RT PDXM Te he TI AI or JP HT SG AS W La W MS
  • 23. ● Metadata Policy1. Anyone may access the metadata free of charge.2. The metadata may be re-used in any medium without prior permission for not- for-profit purposes provided the OAI Identifier or a link to the original metadata record are given.3. The metadata must not be re-used in any medium for commercial purposes without formal permission.
  • 24. Data Policy1. Anyone may access full items free of charge.2. Copies of full items generally can be: ● reproduced, displayed or performed, and given to third parties in any format or medium ● for personal research or study, educational, or not-for-profit purposes without prior permission or charge provided: ● the authors, title and full bibliographic details are given; ● a hyperlink and/or URL are given for the original metadata page; ● the content is not changed in any way
  • 25. Data Policy (2)3. Full items must not be sold commercially in any format or medium without formal permission of the copyright holders.4. This repository is not the publisher; it is merely the online archive.
  • 26. Content PolicyDeposited items may include: working drafts; submitted versions (as sent to journals for peer-review); accepted versions (authors final peer-reviewed drafts); published versions (publisher- created files)Items are individually tagged with: their version type and date; their peer-review status; their publication status.
  • 27. OA policyUniversities & research funding agencies have beenimplementing OA policies since 2004.Institutional OA policy may be voluntary (e.g.requesting that researchers make their work OA inthe institutional repository) or mandatory (e.g.requiring that researchers make their work OA in theinstitutional repository).Mandatory policies do result in a high level of self-archiving which in turn provides a university with theincreased visibility and impact.
  • 28. Open access policyoptionsRequest or require?If you are serious about achieving OAfor the research you fund, you mustrequire it. (Peter Suber’s Open access policy options for funding agencies and universities http://bit.ly/1Tp1KV)
  • 29. Green or gold?If you decide to request and encourageOA, rather than a mandate it, then youcan encourage submission to an OAjournal and encourage deposit in anOA repository as well, especiallywhen researchers publish in a tollaccess journal.
  • 30. Green or gold? (2)But if it decides to mandate OA, then itshould require deposit in an OArepository and not require submissionto an OA journal, even if it alsoencourages submission to an OAjournal.
  • 31. Deposit what?The final version of the authors peer-reviewed manuscriptDataA citation and link to the publishededition
  • 32. Deposit what? (2)Allow the deposit of unrefereed preprints,previous journal articles, conferencepresentations, book manuscripts, thejournals edited or published on campus,open courseware, administrative records,digitization projects from the library, thesesand dissertations
  • 33. Scope of policyFor simplicity and enforceability, followthe example of most funding agencies:apply your OA policy to research youfund "in whole or in part"
  • 34. What embargo?No more than six months.Any embargo is a compromise with thepublic interest; even when they arejustified compromises, the shorter theyare, the better.
  • 35. What exceptions?Private notes, records not intended forpublication, classified researchPatentable discoveriesRoyalty-producing books
  • 36. Step 14-1514. Identify members which will participate inthe evaluation, and present a trainingsession on how to use the software. 15. IT deploys software on developmentalserver, implementation team and other roleplayers evaluate, quality assurance server& production server
  • 37. Steps 16-1716. Create Communities & Collections forchampions and populate in order todemonstrate to library staff and faculty.17. Register IR with internationalharvesters, search engines, have it listedon web pages etc http://www.jiscinfonet.ac.uk/infokits/repositories/technical-framework/registering& http://www.jiscinfonet.ac.uk/infokits/repositories/technical-framework/search
  • 38. Steps 18-1918. Start developing a marketingpresentation (which can be customized forspecific subject areas), marketing leaflets,training material, online help e.g. copyrightclearance process. Example:http://wiki.lib.sun.ac.za/images/0/0e/Marketing.pdf19. Introduce IR to rest of community e.g.departments, individuals, etc. Host opensessions over lunch hour, use organisationalnewsletters, present at meetings &conferences. Negotiate for submitters.
  • 39. Steps 20-2120. Invite all to register new collections.Communicate procedure on e.g. IR homepage. Frequently communicate e.g. via e-mail, monthly newsletter, etc. Frequentlycommunicate statistics.21. Launch IR when ready. Inviteadministration, heads of faculties &departments, other key-players, etc.
  • 40. Step 22Budget each year and plan for the followingyear.Keep monitoring server capacity.Stay updated through mailing lists andreading articles, attending conferences etc.
  • 41. Staffing requirementsRepository Manager - who manages the ‘human’ side of the repository including content policies, advocacy, user training and a liaison with a wide range of institutional departments and external contacts.
  • 42. Staffing requirements (2) Repository Administrator - who manages the technical implementation, customisation and management of repository software, manages metadata fields and quality, creates usage reports and tracks the preservation issues.Some recommendations:http://bit.ly/qP2gaQhttp://bit.ly/o0zvVk
  • 43. Useful linksThe Digital Repositories infoKit:http://bit.ly/bOpG9FOpen Access Scholarly InformationSourcebook by Alma Swan and Leslie Chan:http://www.openoasis.orgSPARC Institutional Repository Checklist &Resource Guide: http://bit.ly/rdfweECreating an Institutional Repository: LEADIRSWorkbook: http://bit.ly/nU13mH
  • 44. Thank you! Questions?