Repository Tools for Managers Policies __________ Pauline Simpson IODE Group of Experts on Marine Information Management CCMI, Cayman Islands psimpson07@aol.com Development and Management of e-Repositories 08-12 April 2013 IODE Project Office Oostende, Belgium

Learning Outcome At the end of this session you will be able to: Development & Management of e-Repositories 2013 Learning Outcome At the end of this session you will be able to: Identify where we are now in the Open Access landscape in relation to mandates and publication policies. Reflect upon the necessary policies for successfully running an institutional repository. Write such a policy document.

Outline Open Access Policies Repository Policies Declarations Mandates Development & Management of e-Repositories 2013 Outline Open Access Policies Declarations Mandates Publication Policies Repository Policies

Hands up if your organization has a mandate? Development & Management of e-Repositories 2013 Question Hands up if your organization has a mandate? Hands up if your organization has a publications policy?

Declarations, Mandates & Policies Development & Management of e-Repositories 2013 Declarations, Mandates & Policies Does it matter what we call it? For this session: Declarations – overarching call for Open Access Mandates – OA requirement by funders Publication Policies – encourage, request, required by individual organizations Repository Policies – required to setup and run an institutional repository

Declarations supporting Open Access Open Access Directory: http://oad Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013 Declarations supporting Open Access Open Access Directory: http://oad.simmons.edu/oadwiki/Declarations_in_support_of_OA

Global movement Germany, Australia, Portugal, Mexico, Saudi Arabia, India, China, Africa, Russia ... USA Research Works Act[HR3699] 2011 – prohibit OA mandates for publicly funded research – severely affect scientific data also – introduced but not pushed White House Directive (Mar 2013): Federal Agencies to develop OA policies in the next 6 months European Commission Neelie Kroes - €80M Research to be made OA OpenAIRE and OpenAIREPlus (data)

Development & Management of e-Repositories 2013

Horizon 2020 (FP for Research & Innovation) Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013

European Research Area Development & Management of e-Repositories 2013 European Research Area

UK Moves UK leadership in OA – still? Development & Management of e-Repositories 2013 UK Moves UK leadership in OA – still? Finch Report, Jun 2012 - Open Access is the future of Academic Publishing [cost to UK Govt £38 million per annum in APC] David Willetts (Min for Univ & Science) Parliamentary speech – ‘UK will lead the world’

RCUK (Research Councils UK) Development & Management of e-Repositories 2013 Revised Authors are free to choose Green or Gold Green option now an unmonitored, unverified, open-ended delay of 24 months or more. STEM research

But HEFCE (Research Assessment for Funding) Development & Management of e-Repositories 2013 .. the proposed new HEFCE/REF mandate has offered the remedy: To be eligible for REF, all articles need to be deposited in the author's institutional repository immediately upon acceptance for publication (regardless of whether the journal is subscription or Gold, and regardless of whether the deposit is embargoed or unembargoed). The story continues …..

‘Firsts’ Development & Management of e-Repositories 2013 The first sub institutional policy to have any real effect was the mandatory one adopted by the School of Electronics & Computer Science at the University of Southampton, UK, in 2002. This required authors in that School to place their postprints (the authors’ final version of their peer-reviewed articles) in the School’s repository. Research funders, too, have been introducing policies over the past 5 years or so. The first was the Wellcome Trust, a London-based funder of biomedical research worldwide. It adopted its policy in 2005, quickly followed by the National Institutes of Health (NIH) in the US. As well as institutional and funder policies, there has been some development of policy at national level. The first national policy was in the Ukraine in 2007.

Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013 cumulative

Development & Management of e-Repositories 2013

ROARMAP: registry of OA Mandates Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013             

SHERPA/Juliet – Research Funders Mandates Development & Management of e-Repositories 2013

http://www.sherpa.ac.uk/fact/ Beta Version Online tool to assist with mandate compliance International mandates expected to be added

Development & Management of e-Repositories 2013 Exercise Identify what Funders or Organizations in your country have OA Mandates/Publication Policies?

Development & Management of e-Repositories 2013

Effectiveness of Policies Development & Management of e-Repositories 2013 Effectiveness of Policies The best-filling repositories have mandates But mandates alone are not the answer Good policies are partially successful All policies need institutional back-up There is an institutional cost

Development & Management of e-Repositories 2013

Institutional Publication Policies Development & Management of e-Repositories 2013 Target advocacy activities to Senior Management with the aim of: obtaining high-level support for a publication policy implementing mandates to deposit full text (refer to institutions, funding bodies with mandates in place) implementing rewards / incentives to deposit (refer to those organisations with incentives in place)

Development & Management of e-Repositories 2013

University of Glasgow Publications Policy Development & Management of e-Repositories 2013 University of Glasgow Publications Policy

Repository Policies Operational requirements of the repository Development & Management of e-Repositories 2013 Repository Policies Operational requirements of the repository Defined at implementation Re-defined post pilot Published policy on who, what, how ___________ 1. Overarching document eg. OceanDocs 2. Policies linked on the interface as guidance on who, what, how

Behind the Policy Document Development & Management of e-Repositories 2013 Decisions made during Implementation: WHO CAN DEPOSIT CONTENT Scope Type Full text vs Metadata METADATA – rich or simple FILE FORMATS ACCESS & REUSE PRESERVATION COPYRIGHT AND WITHDRAWAL

OceanDocs Repository Policy Document Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013 Repository Interface

Institutional webpage Development & Management of e-Repositories 2013 Institutional webpage

Development & Management of e-Repositories 2013 http://www.opendoar.org/tools/index.html

Repository Policy Templates Development & Management of e-Repositories 2013 Repository Policy Templates Six areas of policy making: content coverage metadata submission of data (ingest) access and reuse of data preservation of data, withdrawal of data and succession plans 7. ( Data (sets) policy )

Development & Management of e-Repositories 2013

Content Repository type Types of document and dataset held Versions Development & Management of e-Repositories 2013 Repository type Types of document and dataset held Versions Principal Languages

Content Type of material: Development & Management of e-Repositories 2013 Type of material: Southampton : Will accept any material that relates to research output in any format including multimedia. Include journal articles, books, book chapters, conference papers, monographs, PhD Theses and unpublished research, technical and research reports, datasets. Research papers may include: (a) unpublished pre-prints (not peer-reviewed) (b) final peer-reviewed drafts (post-prints) (c) published versions. (see Copyright Session) Only research? – institutional requirement may be for administration documents – committee minutes etc – will your repository be used for digital content management?

Metadata Development & Management of e-Repositories 2013

Submission /Deposit of Data Development & Management of e-Repositories 2013 Supported by a ‘How to Deposit’ Guide Copyright Session

Access and Re-Use of Data Development & Management of e-Repositories 2013

Preservation of Data Development & Management of e-Repositories 2013

Preservation – file formats in policy? Development & Management of e-Repositories 2013 OCEANDOCS

Withdrawal of Data Development & Management of e-Repositories 2013

Policies for Research Data Development & Management of e-Repositories 2013

Development & Management of e-Repositories 2013 Sources Acknowledgement for some slide content: Alma Swan; Repository Support Project; RDMRose Project; A. Green, S. Macdonald, & R. Rise (2009). Policy-Making for Research Data in Repositories: A Guide (Version 1.2). Edinburgh: EDINA and University Data Library. Available: http://www.disc-uk.org/docs/guide.pdf

Learning Outcome At the end of this session you will be able to: Development & Management of e-Repositories 2013 Learning Outcome At the end of this session you will be able to: Identify where we are now in the Open Access landscape in relation to mandates and publication policies. Reflect upon the necessary policies for successfully running an institutional repository. Write such a policy document.

Print your final policy document Development & Management of e-Repositories 2013 EXERCISE Work through the OpenDOAR Policies Tool and select the options you would like to implement for each of the section. Print your final policy document

OceanTeacher Academy