HOW TO Setting up a repository Policies and Legal Issues

Expanding Content & Increasing Usage

Iryna Kuchma, eIFL Open Access program manager, eIFL.net

Presented at the Regional Technical Training Meeting

Open Access and Dissemination of Scientific

Information in Central America and the Caribbean,

Montego Bay, Jamaica, 12 - 14 May 2010

Overview1. Making a Case: Explaining the need for

a repository & the expected benefits; Strategic Planning and Business Cases; Defining Scope

and Planning Checklists.

2. Marketing and Advocacy.

3. Repository policies.

4. Open access policies & mandates.

6. Legal issues.

7. COAR – Working together.

eIFL.net

eIFL.net (2)

Our mission: enabling access to knowledge

through libraries in developing and transition countries to contribute to sustainable economic

and social development 

eIFL.net (3)Our approach:

eIFL.net’s unique approach

is to partner with libraries

organised in national library consortia

Library consortia can speak with one voice

to stakeholders and policy makers,

share resources

4 000 libraries in 48 countries

core initiativesA. Access to Knowledge for Education, Learning and

Research:

Negotiations and licensing of commercial e-resources (eIFL-Licensing);

Open access (eIFL-OA);

Copyright for libraries (eIFL-IP);

Free and open source software for libraries (eIFL-FOSS).

B. Access to Knowledge for Sustainable Livelihoods:

 Public Library Innovation Program (eIFL-PLIP).

eIFL Open AccessEnabling free and unrestricted access to the research materials for students and scholars,

doctors and lawyers and general public;

Maximising access and increasing the visibility

of research outputs;

Removing barriers that prevent knowledge

from being shared.

eIFL Open Access (2) We advocate

for the adoption of open access policies

and mandates by research funding agencies, universities and research organizations

nationally and internationally.

We build capacities

to launch open access repositories,

and to ensure their long-term sustainability.

eIFL Open Access (3) 32 awareness raising, advocacy and capacity building

events in 2008 – 2009 in 23 countries with participants from over 45 countries;

234 open repositories in 36 countries;

15 open access mandates in China, Ghana, Moldova, Poland, Russia, South Africa and Ukraine;

2,041 open access journals published in eIFL network

eIFL Open Access (4) Evaluation of Institutional Repository Development in

Developing and Transition Countries – a cooperative program between eIFL.net, the University of Kansas Libraries,

the DRIVER project and Key Perspectives Ltd

Case studies on institutional repositories from eIFL countries

A report on the implementation of open content licenses in developing and transition countries

eIFL Open Access (5) Key objectives in 2010

Coordinating open access policies;

Encouraging networking and knowledge sharing;

Outreach campaigns to the research community and students;

eIFL Open Access (6) Key objectives in 2010 cont.

Incubating demonstrations: awards to the projects that demonstrated outstanding achievements;

Sharing the best practice in open access publishing;

Watching briefs on open access to data and open educational resources.

http://www.openaccessweek.org/

How to startMaking a Case:

Explaining the need for

a repository

and the expected benefits

Strategic Planning

and Business Cases

Defining Scope

and Planning Checklists

How to start (2)A repository Steering Group

(or Project Board, Management Committee, Working Group, etc.)

undertakes the high level management of a repository

on behalf of the Institution

Involve key stakeholders senior management and policy makers;

academic staff, library staff,

technical support staff, other support staff

Assumptions 1-31. Management has approved

the implementation of an institutional repository (IR) (Proposal)

2. A server is in place to host the IR

3. An IR Manager (project leader) has been identified to manage the project – and will have to do

most of the work initially

(Proposed checklist for the implementation of an Institutional Repository Developed by the Department of Library Services in the University of

Pretoria, South Africa)

Activity 1 Assign a project leader (IR Manager),

and identify members

to form part of the implementation team

(e.g. external consultant,

copyright officer,

metadata specialist/ head cataloguer,

digitization specialist,

2-3 subject librarians, IT etc.)

Activity 2 Identify 1 to 4 champions

to work with initially.

Involve them in your meetings

and make them part of the implementation team  

Activity 3 Conduct a needs analysis

& compile a needs analysis report

University of Pretoria Digital Institutional

Research RepositoryNeeds Assessment

 Example onlyhttp://ir.sun.ac.za/wiki/files/needs_assessment.doc

Activity 4 - 5 Evaluate available

software

and decide on which software to use

Join existing mailing lists

Activity 4 – 5 (2) Proposal Document

 Using DSpace Open Source Software to implement a Digital

Repository

at the University of Pretoria

http://ir.sun.ac.za/wiki/files/proposal.doc

Activity 6 - 9 Start thinking of a name for the IR

Decide on how communities and collections will be structured within the IR

 Define the workflows

Discuss licensing & copyright issues

with the legal department

http://www.rsp.ac.uk/pubs/briefingpapers-docs/repoadmin-metadata.pdf

The planning checklist1. What is an institutional repository

and what does it mean to you?

2. Have you outlined and documented the purpose and drivers for institutional repository

establishment in your institution?

3. Have you defined your vision and initial goals?

(adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

The planning checklist (2)4. Have you decided how to position your institutional

repository within your wider information environment?

5. What is the target content of the repository?

6. Do you have an institution wide intellectual property rights policy?

(adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

The planning checklist (3)7. Do any of your Departments

already have other digital stores of publications? How will you manage duplication, transfer of

resources and metadata, etc.?

8. Does your institution have an information management strategy?

(adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

The planning checklist (4)9. Have you defined

roles and responsibilities

for your institutional repository development?

10. What sort of statistics and management reports will you want from your institutional repository?

(adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

The most important motivations83% to increase the visibility

of the institution's research output;

66% to provide free access to the institution's research output;

62% to preserve the institution's research output

(Evaluation of Open Repository Development in Developing and Transition Countries)

Important motivations35%

the repository was set up to help evaluate researchers and departments;

34% the repository was set up

in response to requests from faculty.

(Evaluation of Open Repository Development in Developing and Transition Countries)

Other important motivations“A repository that contains high quality content could be used as

a 'shop window' or marketing tool to entice staff, students and funding.”

“To promote open access to social sciences research results in Latin America and the Caribbean.”

“It's library initiative.”“To provide a central archive of the university’s research and

intellectual outputs.”“To set a best practice for the other institutes of Academy of

Sciences to promote the development of institutional repository network.”

“To increase the availability of faculty and researchers publications in the library.”

“As a part of the solution to serials crises.” (Evaluation of Open Repository Development in Developing and Transition Countries)

Activity 10 Compile a business plan

& present to management

University of Pretoria Digital Institutional

Research RepositoryBusiness Plan

 Example Only

http://ir.sun.ac.za/wiki/files/business_plan.doc

Activity 11 Register project with IT

& establish a service level agreement

For Services (The IT guy)

http://ir.sun.ac.za/wiki/index.php/Main_Page

Activity 12 - 13 Incorporate IR as part of role description for

cataloguers & subject librarians

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

The planning checklists (5)Have you decided if

and how you will collect usage and

item download statistics for your

repository? Will you use a tool built into

your chosen repository, or an external tool or

repository add-on?

http://ir.sun.ac.za/wiki/index.php/Web_Analytics

Activity 14 - 15

Identify members which will participate in the evaluation, and present a training session on

how to use the software

 IT deploys software on developmental server, implementation team

and other role players evaluate

quality assurance server

production server

Activity 16

Create Communities & Collections

for champions

and populate

in order to demonstrate

to library staff and community

Activity 17 Register IR with

international harvesters, search

engines,

have it listed on web pages etc 

http://www.jiscinfonet.ac.uk/infokits/repositories

/technical-framework/registering;

http://www.jiscinfonet.ac.uk/infokits/repositories

/technical-framework/search

Activity 18 Start developing a

marketing presentation (which can be

customized for specific subject areas),

marketing leaflets, training material, online

help e.g. copyright clearance process

http://ir.sun.ac.za/wiki/files/marketing.pdf

Activity 19 –20 Introduce IR

to library management,

to library Steering Committee

to library staff  

Provide training to subject librarians (Collection Administrators)

to Submitters (researchers, appoint students etc)

to cataloguers (Metadata Editors)

Activity 21

Establish the following

(will replace initial implementation team):

IR Steering Committee

IR Policy Advisory Group

IR User Group

Activity 22

Introduce IR to rest of community

e.g. departments, individuals, etc.

Host open sessions over lunch hour,

use organisational newsletters,

present at meetings & conferences

Negotiate for submitters

Activity 23-24

Invite all to register new collections.

Communicate procedure on e.g. IR home page

 Frequently communicate e.g. via e-mail, monthly newsletter, etc

Frequently communicate statistics

Activity 25

Launch IR when ready …

Invite administration,

heads of faculties & departments,

other key-players, etc. 

Activity 26

Budget each year

and plan for the following year

Keep monitoring server capacity,

stay updated through mailing lists

& reading articles,

attending conferences etc

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

Repository 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

Repository Administrator - who manages the technical

implementation, customisationand management of repository software,

manages metadata fields and quality, creates usage reports and tracks the

preservation issues http://www.sherpa.ac.uk/documents/GenericTechJobDescriptionAug09.pdf

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf

Sustainability

1. Have you properly and fully specified the requirements of your repository?

2. What is the anticipated growth of your repository?

3. 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?

(Resourcing repositories for sustainability, adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

Sustainability (2)4. Who will answer support/help desk queries relating

to the repository?

5. Have you considered how your repository may grow over the next year, 3 years, 5 years, 10 years?

6. Which digital formats can the repository commit to preserve in the longer-term?

Is the repository collecting author source formats? Is there a viable action plan for monitoring the formats stored in the

repository and the preservation risks associated with those formats? Do you know which tools are available to do this?

(Resourcing repositories for sustainability, adaptation from the Repository Support Project, the UK: http://www.rsp.ac.uk/)

MarketingOpen repository for researchers

Long term preservation and back-upUsage statistics

Web-presences – personal profiles, actual CVs, publication lists

OpportunitiesCitations

Collaborative projectsFinancing

Marketing (2)Open repository for managers

Information management & Research managementQuality assurance: statistics, web metrics, etc

Web-presences – personal profilesMarketing

CompetitivenessPrint-on-demand

Virtual learning environment

OpportunitiesCollaborative projects

FinancingGood students

Advocacy Options Top-downExplore institutional requirement for deposit

(mandates)

Obtain supporting statements from the very highest level of the institution

Invite stakeholders to join repository steering groups to assist in exploring unique institutional challenges; influencing the strategic position of the repository

Keep the Pro-VC for research (or similar) and key committees informed of developments and

successes. This ensures the repository is embedded in the organisation

(The Digital Repositories infoKit: http://www.jiscinfonet.ac.uk/infokits/repositories/management-framework/options)

Advocacy Options Bottom-upLocate repository champions. Enthusiastic early adopters

can act as change agents, taking your messages out on a peer-to-peer basis

Demonstrate how new researchers can contribute, and gain a flying start to their careers. Repository

usage statistics can provide powerful encouragement

Engage students, especially graduates, by promoting the use of open access research material. In turn they will influence

their peers and mentors

Inform and involve support staff, ensuring they understand the importance of the repository to the

institution's strategy(The Digital Repositories infoKit: http://www.jiscinfonet.ac.uk/infokits/repositories/management-framework/options)

Advocacy Options TargetedIdentify so-called 'green' publishers -

those who allow self-archiving in any form - and then asking the academics who have published in those journals for

permission to deposit those papers in the institution's institutional repository. To check the list of publisher

copyright policies on self-archiving, visit RoMEO.

Work with departments most likely to benefit from the repository, such as:

those reviewing research management/reporting processes; subject areas with Funder Mandates;

those who's academics publish in wide range of journal publications;

subject areas with Open Access services such as PubMed Central and Arxiv

(The Digital Repositories infoKit: http://www.jiscinfonet.ac.uk/infokits/repositories/management-framework/options)

StimulantsIncreased visibility and citations

for the publications of the academics in our institution (57%);

Simple and user-friendly depositing process (32%);

Institutional policy of mandatory depositing (32%);

Awareness-raising efforts among the academics in our institution (32%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Stimulants (2)Interest from the decision makers within institution

(27%);

The requirements of research-funding organisations in our country regarding depositing research output in

Open Access repositories (16%);

Policy to safeguard the long-term preservation of the deposited material (14%);

Institutional policy of accountability (11%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Stimulants (3)Integration/linking of the digital repository with other

systems in our institution (11%);

The situation with regard to copyright of (to be) published materials and the knowledge about this

among academics in our institution (7%);

Crowdsourcing (7%);

Clear guidelines for selection of material for inclusion (5%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Stimulants (4)Financial support from a national funding programme

for the digital repository in our institution (5%);

Coordination of a national body for digital repositories (5%);

Search services as provided by national and international gateways (5%).

(Evaluation of Open Repository Development in Developing and Transition Countries)

InhibitorsLack of an institutional policy

of mandatory depositing (49%);

Lack of requirements of research funding organisations in our country regarding depositing

research output in Open Access repositories (40%);

Lack of interest from the decision makers within our institution (33%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Inhibitors (2)The situation with regard to copyright

of (to be) published materials and the knowledge about this among academics in our institution (33%);

Lack of an institutional policy of accountability (30%);

Lack of awareness-raising efforts among the academics in our institution (30%);

Lack of coordination of a national body for digital repositories (21%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Inhibitors (3)Lack of integration/linking of the digital repository

with other systems in our institution (9%);

Lack of a simple and user-friendly depositing process (9%);

Lack of financial support from a national funding programme for the digital repository in our

institution (7%);

Lack of search services as provided by national and international gateways (5%);

(Evaluation of Open Repository Development in Developing and Transition Countries)

Inhibitors (4)Lack of support for increased visibility and citations

for the publications of the academics in our institution (5%);

Lack of clear guidelines for selection of material for inclusion (2%);

Lack of financial support from foreign funding agencies (2%).

(Evaluation of Open Repository Development in Developing and Transition Countries)

ChallengesMajor challenge: Content recruitment (42%)

Challenges: Engendering faculty awareness and engagement

(50%); Securing adequate funding and other resources (46%);

Copyright issues (42%); Communicating with faculty about the repository

(41%); Integrating the repository into workflow and other

existing structures (35%);Staffing issues (31%).

(Evaluation of Open Repository Development in Developing and Transition Countries)

Repository policies

Repository policies (2)

Repository policies (3)

Repository policies (4)

Repository policies (5)

Repository policies (6)

Repository policies (7)

Repository policies (8)

Repository policies (9)

Repository policies (10)

Repository policies (11)

Repository policies (12)

Repository policies (13)

Repository policies (14)

Repository policies (15)

Repository policies (16)

Open access policies

Open access policies (2)The U.S. National Institutes of Health (NIH),

implemented a policy requiring that its grant recipients make articles

resulting from NIH funding publicly available within twelve months of publication

in a peer-reviewed journal

This policy, passed by the U.S. Congress and signed into law by the President, went into effect in April 2008

The OA mandate at the NIH was made permanent by a bill passed by both houses of Congress signed by

President Obama

Berlin Declaration‘Our mission of disseminating knowledge is only half

complete if the information is not made widely and readily available to society.’

Signatories should promote open access byencouraging researchers/grant recipients

to publish in open access.

encouraging the holders of cultural heritage to support open access by providing their resources

on the Internet.

http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Berlin Declaration (2)‘Open access contributions must satisfy two conditions:

1. The author(s) and right holder(s) of such contributions grant(s) to all users a free, irrevocable, worldwide, right of access to, and a license to copy,

use, distribute, transmit and display the work publicly and to make and distribute derivative

works, in any digital medium for any responsible purpose, subject to proper attribution of authorship (community standards, will continue to provide the mechanism for enforcement of proper attribution and responsible use of the published work, as they

do now), as well as the right to make small numbers of printed copies for their personal use.

http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Berlin Declaration (3)2. A complete version of the work

and all supplemental materials, including a copy of the permission as stated above,

in an appropriate standard electronic format is deposited … in … online repository using suitable technical standards

(such as the Open Archive definitions) that is supported and maintained by an academic institution, scholarly society, government agency, or

other well-established organization that seeks to enable open access, unrestricted distribution,

interoperability, and long-term archiving. http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

OA policy options

for funding agencies and universities

(Based on The SPARC Open Access Newsletter, issue #130 and The SPARC Open Access Newsletter, issue

#127, by Peter Suber: http://www.earlham.edu/~peters/fos

/newsletter/02-02-09.htm and http://www.earlham.edu/~peters/fos/newsletter/11-02-08.htm)

Request or require?

Recommendation:

If you're serious

about achieving open access

for the research you fund,

you must require it.

Green or gold?Recommendation:

If you decide to request and encourage open access,

rather than a mandate it, then you can encourage submission

to an open access journal and encourage deposit in an open access

repository as well, especially when researchers publish in a toll

access journal.

Green or gold? (2)Recommendation:

But if you decide to mandate open access,

then you should require deposit in an open access repository,

and not require submission to an open access journal,

even if you also encourage submission to an open access

journal.

Deposit what?Recommendation:

Require the deposit of the final version of the author's peer-reviewed

manuscript, not the published version. Require the deposit of data

generated by the funded research project. In medicine and the social sciences, where privacy is an

issue, open access data should be anonymised. A peer-reviewed manuscript in an open access

repository should include

a citation and link to the published edition.  

Deposit what? (2)Recommendation: Allow the deposit

of unrefereed preprints, previous journal articles, conference presentations (slides, text, audio, video), book manuscripts, book metadata (especially when the author cannot or will not deposit the full-text), and the contents of journals edited or published on

campus. The university itself could consider other categories as

well, such as open courseware, administrative records, and digitization projects from the library,

theses and dissertations

Scope of policy?Recommendation:

For simplicity and enforceability,

follow the example of most funding agencies: apply your open access policy

to research you fund

"in whole or in part"

What embargo?Recommendation:

No more than six months.

Any embargo is a compromise

with the public interest;

even when they are justified compromises,

the shorter they are, the better.

What exceptions?Recommendation:

Exempt private notes and records not intended for publication.

Exempt classified research. Either exempt patentable discoveries or allow an embargo long enough for the researcher to

apply for a patent. (This could be a special embargo not allowed to other research.)

And unless you fund research, which often results in royalty-producing books, exempt

royalty-producing books.

http://www.openoasis.org/index.php?option=com_content&view=article&id=148&Itemid=340

Copyright management

Author – Publisher: License to publish

Author – Repository: License to deposit

Author - Users: License to use

Permissions

Copyright Management (2)Ensuring that your IR team liaising with the author

is informed and up-to-date on self-archiving and related publisher policies

Utilising and monitoring tools such as Sherpa/RoMEO to support you in your information.

Liaising with publishers on a case by case basis if time and resources allow

From Proudman, V. (2007) The population of repositories. In Eds. K. Weenink, L.Waaijers and K. van Godtsenhoven, A DRIVER's Guide to European Repositories (pp.49 - 101)

http://www.sherpa.ac.uk/romeo

License AgreementA comprehensive

deposit and end user’s license

Depositor’s declaration

Repositories’ Rights and Responsibilities

The end-user’s terms and conditions

Depositor’s DeclarationThe main function

of the depositors declaration

is to ensure that the depositor

is the copyright owner,

or has the permission

of author/copyright holder

(if by proxy) to deposit

Depositor’s Declaration (2)The second function

is for the author and any other rights holders,

to grant permission to the host institution

to distribute copies of the paper

via the internet

Depositor’s Declaration (3)Equally important is the notion

that the author

has sought and gained

permission to include any subsidiary material owned by third party copyright holders

Repositories’ Rights and Responsibilities

The agreement between an institution and author

to authorise the library

to carry out some of the

following acts including

to store, organise, manage, access, make a paper available via the internet and provide

digital preservation

Repositories’ Rights and Responsibilities (2)

The agreement between an institution and author to authorise the library

to carry out some of the following acts includingto store, organise, manage, access, make a paper

available via the internet and provide digital preservation

the copyright ownership is unaffected

the author granting the repository the nonexclusive right to carry out the additional acts

http://wikieducator.org/Otago_Polytechnic/Intellectual_property

research communicationCameron Neylon:

The future of research communication is aggregation

http://cameronneylon.net/blog/the-future-of-research-communication-is-aggregation/

Cameron Neylon: Biochemist, Open Science, Open Access, and bringing more experimental techniques

to the biosciences, work at the Science and Technology Facilities Council, the UK’s major

provider and supporter of large scale academic research facilities, including synchrotrons, neutron

sources, and high powered lasers

Cameron Neylon http://www.flickr.com/photos

/24801682@N08/4506964677/sizes/l/

Useful readingIR Wiki: http://ir.sun.ac.za/wiki/index.php/Main_Page

The Digital Repositories infoKit: http://www.jiscinfonet.ac.uk/infokits/repositories/index_html

Open Access Scholarly Information Sourcebook by Alma Swan and Leslie Chan: http://www.openoasis.org

SPARC Institutional Repository Checklist & Resource Guide: www.arl.org/sparc/bm~doc/IR_Guide_&_Checklist_v1.pdf

Creating an Institutional Repository: LEADIRS Workbook: http://dspace.mit.edu/handle/1721.1/26698

A Guide to Developing Open Access Through Your Digital Repository by Kylie Pappalardo and Dr Anne Fitzgerald with

the assistance of Professor Brian Fitzgerald, Scott Kiel-Chisholm, Damien O’Brien and Anthony Austin, Open Access

to Knowledge Law Project: http://www.oaklaw.qut.edu.au/node/32

Thank you!Questions?

Iryna Kuchma

iryna.kuchma[at]eifl.net; www.eifl.net

The presentation is licensed with Creative Commons Attribution 3.0 License