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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