How to open repositories

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

Overview
1. 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 (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 initiatives
A. 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 Access
Enabling 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.

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

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

Key objectives in 2010

Coordinating open access policies;

Encouraging networking and knowledge
sharing;

Outreach campaigns to the research community
and students;

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 start
Making 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 1-3
1. 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 Repository
Needs Assessment
Example only
http://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 checklist
1. 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?


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?


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?


The most important motivations
83% 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 motivations
35%
the repository was set up
to help evaluate researchers and departments;

34%
the repository was set up
in response to requests from faculty.

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 Repository
Business Plan
Example Only
files/business_plan.doc

Activity 11 
Register project with IT
& establish a service level
agreement

For Services (The IT guy)
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/

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
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, customisation
and management of repository software,
manages metadata fields and quality,
creates usage reports and tracks the
preservation issues
http://www.sherpa.ac.uk/documents/GenericTech

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?

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/)

Marketing
Open repository for researchers
Long term preservation and back-up
Usage statistics
Web-presences – personal profiles, actual CVs,
publication lists

Opportunities
Citations
Collaborative projects
Financing

Marketing (2)
Open repository for managers
Information management & Research management
Quality assurance: statistics, web metrics, etc
Web-presences – personal profiles
Marketing
Competitiveness
Print-on-demand
Virtual learning environment

Opportunities
Collaborative projects
Financing
Good students

Advocacy Options Top-down
Explore 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-up
Locate 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 Targeted
Identify 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)

Stimulants
Increased 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%);

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%);

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%);

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%).

Countries)

Inhibitors
Lack 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%);


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%);

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%);

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%).

Countries)

Challenges
Major 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%).

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 by
encouraging 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.

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.

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

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 Agreement
A comprehensive
deposit and end user’s license

Depositor’s declaration

Repositories’ Rights and Responsibilities

The end-user’s terms and conditions

Depositor’s Declaration
The 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 including
to 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 communication
Cameron 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 reading
IR 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

How to open repositories

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