The workshop held by Pedro Príncipe and José Carvalho discussed how to make research repositories compliant with OpenAIRE guidelines and the European Commission's open access policies. The session outlined the objectives of OpenAIRE, including ensuring broad access to EU-funded research outputs and the necessary steps for repository managers to facilitate compliance. Key topics included the specifics of what and when to deposit, technical requirements, and available validation tools for repositories.

1. Pedro Príncipe & José Carvalho , University of Minho
How to make your repository
OpenAIRE compliant
Online workshop – January 23 and 24, 2012

2. AGENDA
1) OpenAIRE and compliancy with the ERC Scientific
Council Guidelines for Open Access and the
European Commission Open Access Pilot in FP7,
Pedro Príncipe
2) How to make your repository OpenAIRE
compliant, Pedro Príncipe & José Carvalho
3) Compliancy for DSpace, José Carvalho
4) Questions and Answers.
2

3. OpenAIRE and compliancy
with the EC/ERC OA policies
1/4
OpenAIRE in a nutshell…
How to comply with the EC/ERC OA policies

4. The European Comission and the European Research
Council want to provide the widest dissemination and
access to the results of the research they fund.
OpenAIRE implements the Open Access
requirements in EU Member States
4

5. Main goals
Deliver an electronic infrastructure and
supporting mechanisms for the identification,
deposition, access, and monitoring of FP7 and ERC
funded articles.
Additionally, offer a special repository for articles
that can be stored neither in institutional nor in
subject‐based/thematic repositories.
All deposited articles will be visible and freely
accessible world‐wide through a new portal to
the products of EU‐funded research, built as part
of this project.
Work with several subject communities to explore
the requirements and practices to deposit, access
and manage research datasets in combination
with research publications.
5
Helpdesk &
repositories
Orphan
repository
OpenAIRE
portal
Study &
OpenAIREplus

6. European Research Council
December 2007
ERC Scientific Council publishes
Guidelines for Open Access, as a
follow up of its 2006 Statement on
Open Access.
ERC, requires:
that all peer‐reviewed
publications from ERC‐funded
research projects be deposited on
publication into an appropriate
disciplinary or institutional
repository, and subsequently
made Open Access within 6
months of publication.
6

7. Open Access Pilot in FP7
August 2008
European Commission launched
the Open Access Pilot in FP7 that will run
until the end of the Framework
Programme
The pilot applies to 7 research areas:
1. Energy
2. Environment (including Climate Change)
3. Health
4. Information and Communication
Technologies (Cognitive Systems,
Interaction, Robotics)
5. Research Infrastructures (e‐
infrastructures)
6. Science in society
7. Socio‐economic sciences and the
humanities
7

8. Open Access Pilot in FP7
Grant agreements in those 7
areas, signed after August 2008,
contain a special clause (Special
Clause 39) requiring beneficiaries:
1. to deposit articles resulting from FP7
projects into an institutional or
subject based repository
2. to make their best efforts to ensure
open access to these articles within
six months (Energy, Environment,
Health, Information and
Communication Technologies,
Research Infrastructures) or twelve
months (Science in Society, Socio‐
economic Sciences and Humanities
8

9. Complying with FP7 and ERC
requirements
»»»»» What to deposit?
»»»»» Where to deposit?
»»»»» When to deposit?
9

10. What to deposit?
Published version
– publisher’s final version of the paper, including all
modifications from the peer review process, copyediting
and stylistic edits, and formatting changes (usually a PDF
document)
OR
Final manuscript accepted for publication
– final manuscript of a peer‐reviewed paper accepted for
journal publication, including all modifications from the
peer review process, but not yet formatted by the
publisher (also referred to as “post‐print” version).
10

11. Where to deposit?
Institutional repository
– of the research institution with which they are affiliated
OR (If this is not possible)
Subject based/thematic repository
OR
Orphan Repository provided by OpenAIRE for
articles that can be stored neither in institutional nor
in subject‐based/thematic repositories
11

12. When to deposit?
Researchers should deposit their articles or manuscripts in a
relevant repository immediately upon acceptance for
publication, to be made open access within six or twelve
month depending on the FP7 research area
6 Months Access Embargo 12 Months Access
Embargo
ERC All grant recipients after 2007
FP7 in the thematic areas:
"Health", "Energy", "Environment" (including
Climate Change)", and "Information &
communication technologies" (“Cognitive Systems”,
“Interaction” and “Robotics”)
in the activity:
"Research infrastructures" (e‐infrastructures)
in the thematic area:
"Socio‐economic Sciences
and the Humanities"
in the activity:
"Science in Society"
12

13. The pilot covers approximately
20% of FP7 projects:
13

14. How to comply workflow
14
REPOSITORY
Submit manuscript
to publisher
Final author
manuscript
Reference of the article available on
the OpenAIRE/EC sites, fulltext
available to all (immediately or after
embargo periodoin repository
14

15. Repository Managers
How to support researchers?
»» Make your repository OpenAIRE complaint
15

16. How to make your repository
OpenAIRE compliant
2/4
Steps to make your repository OpenAIRE complaint
OpenAIRE guidelines

17. Steps to make your repository
OpenAIRE complaint
1.Register your repository in OpenDOAR
OpenDOAR is an authoritative worldwide directory of
academic open access repositories.
2. Test compliancy with OpenAIRE
Make your repository OpenAIRE complaint – by
implementing the OpenAIRE Guidelines
17
3. Add your repository in OpenAIRE
OpenAIRE in collaboration with OpenDOAR provides you an
easy web tool to help you register the repository.

18. 1. OpenDOAR
The first step is to register your repository in
OpenDOAR.
If you are already registered in OpenDOAR:
– Check if the information is update
– Attention to the URL and admin email
18

19. 2. OpenAIRE Guidelines
First of all, compliance to the OpenAIRE guidelines
The purpose of OpenAIRE Guidelines is to make FP7/ ERC
publications visible. To achieve this and allow central
harvesting of FP7/ ERC publications, repositories must
comply with some minimum technical requirements.
“The OpenAIRE Guidelines are simple metadata
specifications for repositories that need to be OpenAIRE
compliant. After complying to the OpenAIRE guidelines, the
repository will become the single entry point for
researchers that want to deposit FP7 publications.”
19

20. 2. OpenAIRE Guidelines
Make your repository OpenAIRE compliant by
implementing the OpenAIRE Guidelines
Plugins (popular repository platforms) helps to
implement the guidelines
Repository should enable the deposition of
publication files and metadata (also info relative to
the EC projects funding)
Get EC project data
20

21. 2. Test the OpenAIRE
compliance
After you have made some progress in implementing the
guidelines you should run a compliancy test.
The OpenAIRE provides a validator where you can verify if
the repository is truly compatible with the guidelines.
www.openaire.eu:8380/dnet‐validator‐openaire
Enter the OAI‐PMH base URL of your repository and choose
to test your repository against the OpenAIRE rule set.
After running the test you can browse the results.
Please make sure you have an ec_fundedresources set and
that it contains at least one record.
21

22. 3. Join OpenAIRE
After a short compliancy test, your repository will be ready to
join OpenAIRE »» www.openaire.eu:8380/dnet‐validator‐openaire
Use the validator web tool to register the repository
22

23. Compliant repositories – list
in the portal
23

24. Find the repository in the
portal
24

25. The portal inform about the
repository compliance
25

26. OpenAIRE guidelines

27. OpenAIRE Guidelines
Released in July 2010 (V. 1.1 Nov. 2010)
– The OpenAIRE guidelines are
supplementary and built on top of the
DRIVER Guidelines
 Plus fields: projectID, accessRights,
embargoEndDate
– All aspects of the DRIVER Guidelines are
valid, with a very few exceptions
 DRIVER compliancy recommended, not
mandatory
27

28. OpenAIRE Guidelines
OpenAIRE Set
Content definitions:
– The content to be inserted in the
OpenAIRE set must be EC funded content
Set naming
setName setSpec*
The OpenAIRE set EC_funded_resources set ec_funded_resources
28

29. OpenAIRE Guidelines
New elements
access_rights
embargo_end_date
projectID
29

30. OpenAIRE guidelines
projectID
30
Element name projectID
DCMI definition dc:relation
Usage Mandatory
Usage instruction A vocabulary of projects will be exposed by
OpenAIRE through OAI-MPH, and available for
all repository managers. Values will include .
The projectID equals the Grant Agreement
number, and is defined by the namespace
info:eu-repo/grantAgreement/EC/FP7
Example <dc:relation> info:eu-
repo/grantAgreement/EC/FP7/12345
</dc:relation>

31. OpenAIRE guidelines
accessRights
31
Element name accessRights
DCMI definition dc:rights
Usage Mandatory
Usage instruction Use values from vocabulary Access Rights at
http://wiki.surffoundation.nl/display/standard
s/info-eu-repo/#info-eu-repo-AccessRights;
values are: info:eu-
repo/semantics/closedAccess info:eu-
repo/semantics/embargoedAccess
info:eu-repo/semantics/restrictedAccess
info:eu-repo/semantics/openAccess
Examples <dc:rights> info:eu-
repo/semantics/openAccess
</dc:rights>

32. OpenAIRE guidelines
embargoEndDate
32
Element name embargoEndDate
DCMI definition dc:date
Usage Recommended
Usage instruction Recommended when accessRights = info:eu-
repo/semantics/embargoedAccess
The date type is controlled by the name space
info:eu-repo/date/embargoEnd/, see
http://wiki.surffoundation.nl/display/standards
/info-eu-repo/#info-eu-repo-
DateTypesandvalue. Encoding of this date
should be in the form YYYY-MM-DD (conform
ISO 8601).
Examples <dc:date> info:eu-
repo/date/embargoEnd/2011-05-12
<dc:date>

33. Compliancy for DSpace
3/4
Addons:
OAI Extended & OpenAIRE Authority Control

34. OAI extended Addon

35. OAI extended Addon
OAI Extended Addon (or a patch to be more precise):
– Extends the base functionality of the OAI‐PMH interface and
delivers repository administrators more flexibility and
functionalities to select and filter the information.
– The purpose of the OAI Extended Addon was to modify the
OAI Interface's output, showing only items that were
compliant with the DRIVER Guidelines.
– The Addon provides also the tools to create a set according to
the requirements of the OpenAIRE Guidelines, helping
European repositories to become OpenAIRE compliant.
– Other features are: hability to show didl schema and ETDMS
itens. May be completely adjusted to other environments and
can easily be configured, changed or extended…
35

36. OAIextended
Initially created for the DRIVER Guidelines
– Now enables OpenAIRE compliance.
How?
– Filter all the records that have a
dc.relation with:
info:eu‐repo/grantAgreement/EC/FP7/????
This set is used for OpenAIRE Portal

37. Addon OAI Extended
OAI Extended Addon is a DSpace patch (1.6.2 & 1.7.2):
Dspace 1.6.2
• OAIextended v.2 (08 Nov 2010)
http://projecto.rcaap.pt/index.php/lang‐en/consultar‐recursos‐de‐apoio/remository?func=fileinfo&id=328
• OAIextended v.2.3 (26 Jul 2011)
http://projecto.rcaap.pt/index.php/lang‐en/consultar‐recursos‐de‐apoio/remository?func=fileinfo&id=341
Dspace 1.7.2
– OAIextended v.2.4 (25 Oct 2011)
http://projecto.rcaap.pt/index.php/lang‐en/consultar‐recursos‐de‐apoio/remository?func=fileinfo&id=344
37

38. Set EC Funded Resources

39. OpenAIRE Authority
Control

40. OpenAIRE Authority Control
Dspace 1.6.2
http://projecto.rcaap.pt/index.php/lang‐pt/consultar‐recursos‐de‐apoio/remository?func=fileinfo&id=342
Dspace 1.7.2
http://projecto.rcaap.pt/index.php/lang‐pt/consultar‐recursos‐de‐apoio/remository?func=fileinfo&id=345
40

41. Addon
OpenAIRE Authority Control
This Addon use Dspace “Authority Control” functionality:
– provides a way to list and verify OpenAIRE projects (FP7);
– the list of projects is maintained as a web‐service
– a local cache is created in order to be queried by users
– only adds the correct value in dc.relation field
Main goals:
– Simplify and standardize the projects (ID) identification in
the deposit process;
– Facilitates compliance with the OpenAIRE guidelines
41

42. OpenAIRE
Authority Control Addon
Allows users to search and include FP7
projects ID in the metadata of the records
disposed in accordance with the guidelines
* Needs the OAIextended Addon to create the set
(ec_fundedresources)
42

43. OpenAIRE
Authority Control Addon
43

44. OpenAIRE
Authority Control Addon
44

45. Edit record
Metadata
45
openAccess

46. Questions and Answers
4/4
Support information

47. www.openaireaire.eu

48. Helpdesk

49. Further Information
Open access pilot in FP7:
http://ec.europa.eu/research/scien
ce‐society/open_access
Twitter: @OpenAIRE_eu
Book an individual consultation with
the OpenAIRE team members
(January 25, 26 or 27)
Contact: pedroprincipe@sdum.uminho.pt
www.openaire.eu49

50. Questions and Answers
50
Pedro Príncipe pedroprincipe@sdum.uminho.pt
– skype id ratodebiblioteca
José Carvalho jcarvalho@sdum.uminho.pt
– skype id josekarvalho
www.openaire.eu