Open Access Digital
Repositories Workshop
Ricardo Casate Fernández, Director
Biblioteca Nacional de Ciencia y Tecnología (BNCT), Instituto
de Información Científica y Tecnológica (IDICT)
casate[@]idict.cu, rcasate[@]gmail.com
Iryna Kuchma, EIFL Open Access Programme Manager
iryna.kuchma[@]eifl.net, www.eifl.net
A ttribution 3.0 U nported
Presented at IFLA Satellite Conference – Social Science
Libraries: A Bridge to Knowledge for Sustainable
Development, Havana, Cuba, 8—10 August 2011
Removing barriers to
knowledge sharing
EIFL-OA: open access
EIFL-OA
in action…
Build capacity to launch OA repositories & to
ensure their long-term sustainability
Advocate nationally and internationally for the
adoption of OA policies and mandates
Provide guidance, expertise & support material
during implementation of OA projects (policies,
journals, repositories, books, data, OERs)
Empower library professionals, scholars,
educators and students to be OA advocates
EIFL-OA
in action… (2)
400 OA repositories & 2,500+ OA journals in EIFL
partner countries (in the beginning of 2010 – 186
OA repositories)
OA policies have been adopted by 24 institutions
in the EIFL network
44 awareness raising, advocacy and capacity
building events and workshops in 2008-2011 in
28 countries with participants from over 50
countries
OA repositories
Visibility, access, and preservation were the
most important motivations cited by
participating institutions to establish a
repository.
Other motivations included the need to evaluate
researchers and departments, and as a
response to requests from faculty.
(A survey “Open Repository Development in Developing and Transition
countries” conducted by EIFL and the University of Kansas Libraries)
OA repositories (2)
Which departments or units within your
institution have actively advocated the
establishment of a repository?
88% library
28% Information Technology department
18% administration
16% academic departments
14% research office
(A survey “Open Repository Development in Developing and Transition countries”)
OA repositories (3)
Increase impact and usage of institute's
research, providing new contacts and
research partnerships for authors.
Provide usage statistics showing global interest
and value of institutional research.
FOSS to set up, free technical support. Low
installation and maintenance costs, quick to
set up and gain benefits. Institutions can
mandate OA, speeding development.
Aims to
enhance greater
visibility and
application of
research
outputs through
global networks
of OA digital
repositories
http://coar-repositories.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
(based on the Proposed checklist for the implementation of an
Institutional Repository Developed by the Department of Library
Services in the University of Pretoria, South Africa)
Assumptions
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.
Step 1
Start with a repository Steering Group (or Project
Board, Management Committee, Working
Group, etc.) that 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.
Steps 2-3
Step 2. 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.).
Step 3. Identify 1 to 4 champions at the faculty to
work with initially. Involve them in your meetings
and make them part of the implementation team.
Steps 4-8
Step 4. Conduct a needs analysis and compile a
needs analysis report
Step 5. Evaluate available software and decide on
which software to use.
Step 6. Join existing mailing lists.
Step 7. Start thinking of a name for the IR.
Step 8. Decide on how collections will be
structured within the IR.
Top reasons to use
DSpace
Largest community of users and developers
worldwide
Free open source software
Completely customizable to fit your needs
Used by educational, government, private and
commercial institutions
Can be installed out of the box
Can manage and preserve all types of digital
content
Top reasons to use
EPrints
As the first professional software platform for
building repositories, EPrints is already
established as the easiest and fastest way to set
up repositories.
It is intended to create a highly configurable webbased repository.
EPrints is often used for research papers, and the
default configuration reflects this, but it is also
used for other things such as images, research
data, audio archives - anything that can be
stored digitally.
Step 9: Define
workflows
33% material to be collected by staff members or
librarians independently of the authors or
researchers;
30% researchers and authors provide content to
specialised staff members or librarians to deposit
into the repository;
17% self-depositing by researchers and authors
with quality control by specialised staff members;
13% self-depositing by researchers and authors
with no quality control by specialised staff
members.
(A survey “Open Repository Development in Developing and Transition countries”)
Step 10. Discuss
licensing & copyright
issues with the legal
department.
A comprehensive deposit and end user’s
license agreement should cover a number of
core topics, including
• a depositor’s declaration
• the repository’s rights and responsibilities
• and the end-user’s terms and conditions
Depositor’s Declaration
1. to ensure that the depositor is the copyright
owner, or has the permission of author/copyright
holder (if by proxy) to deposit
2. the author and any other rights holders grant
permission to the host institution to distribute copies
of their work via the internet...
3. the author has sought and gained permission to
include any subsidiary material owned by third
party copyright holders
Repository's rights &
responsibilities
It must be made clear to the submitting author
that through submission of their work the
copyright ownership is unaffected. One
way of doing this is for the deposit license to
begin with the author granting the repository
the nonexclusive right to carry out the
additional acts...
End-user's terms and
conditions
open access – free of charge & free of most
usage restrictions online access to research
literature
the author(s)/copyright holder(s) should make
the best efforts to grant to all users a free,
irrevocable, worldwide, perpetual 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
End-user's terms and
conditions
open access – free of charge & free of most
usage restrictions online access to research
literature
the author(s)/copyright holder(s) should make
the best efforts to grant to all users a free,
irrevocable, worldwide, perpetual 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
Steps 11-14
Step 11. Compile a business plan and present
to management.
Step 12. Register project with IT department
and establish a service level agreement.
Step 13. Incorporate IR as part of role
description for cataloguers & subject
librarians.
Step 14. Start working on IR policy, and
continue to document all important decisions
taken.
Steps 15-17
Step 15. Identify faculty members, which will
participate in the evaluation, and present a
training session on how to use the software.
Step 16. IT staff deploys software on
developmental server and implementation team
and other role players evaluate, then moving to
the quality assurance server and then to the
production server.
Step 17. Create Collections for faculty champions
and populate in order to demonstrate to library
staff and community
Steps 18-19
Step 18. Register IR with international harvesters,
search engines, have it listed on web pages etc
(See
http://www.jiscinfonet.ac.uk/infokits/repositories/t
echnical-framework/registering and
http://www.jiscinfonet.ac.uk/infokits/repositories/t
echnical-framework/search).
Step 19. Start developing a marketing
presentation (which can be customized for
specific subject areas), marketing leaflets,
training material, online help e.g. copyright
clearance process
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
Open repository for research managers
Information & 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
Steps 20-21
Step 20. Introduce IR to rest of community
(departments, individuals, etc). Host open
sessions over lunch hour, use organisational
newsletters, present at meetings & conferences.
Step 21. 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
Steps 22-23
Step 22. Launch IR when ready. Invite
administration, heads of faculties & departments,
other key-players, etc.
Step 23. Budget each year and plan for the
following year. Keep monitoring server capacity,
stay updated through mailing lists and reading
articles, attending conferences etc.
Staffing requirements
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
See:
http://www.sherpa.ac.uk/documents/Staff_and_Skills_Set_2009.pdf
Content acquisition
guidelines
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
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.
Content acquisition
guidelines (2)
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
Content acquisition
guidelines (3)
Advocacy Options Bottom-up
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
Content acquisition
guidelines (4)
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.
Content acquisition
guidelines (5)
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
(Based on The Digital Repositories infoKit:
http://www.jiscinfonet.ac.uk/infokits/repositories/managementframework/options)
Group work
The planning checklist
(adaptation from the Repository Support Project,
the UK: http://www.rsp.ac.uk/)
1. What is an institutional repository and why
does your organization need it?
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?
Group work (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? How will you deal with
licensing and copyright issues?
7. Do any of your Departments already have other
digital stores of publications? How will you
manage duplication, transfer of resources
and metadata, etc.?
Group work (3)
8. Does your institution have an information
management strategy? Is your repository part
of it?
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? Have you decided if and how you
will collect usage and item download
statistics for your repository?
Group work (4)
Resourcing repositories for sustainability
(adaptation from the Repository Support
Project, the UK: http://www.rsp.ac.uk/)
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?
Group work (5)
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?
Useful reading
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 Open Access to Knowledge Law
Project: http://www.oaklaw.qut.edu.au/node/32
Thank you
Questions?
The presentation is licensed with Creative Commons
Attribution 3.0 License