Implementing & filling institutional repositories Leslie Chan...

Implementing & filling institutional repositories

Leslie Chan chan@utsc.utoronto.ca

Rea Devakos rea.devakos@utoronto.ca

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ICCC 9th International Conference on Electronic Publishing, organised by the Katholieke Universiteit Leuven, Belgium, 8-10 June 2004

ELPUB2005 Katholieke Universiteit Leuven, June 8-10, 2005

Agenda

Introductions and expectations What is an IR Why do this? Implementation Approaches Break Policy Platforms Challenges and the way ahead

Intros and survey responses

10 participants responded to our questionnaire

Full IR production: 2 Planning: 4 Considering: 4 Diverse institutions - countries and languages Different level of expertise and varying

responsibilities

a set of services that a university offers to the members of its community for the management and dissemination of digital materials created by the institution and its community members. It is most essentially an organizational commitment to the stewardship of these digital materials, including long-term preservation where appropriate, as well as organization and access or distribution.” Clifford A. Lynch, "Institutional Repositories: Essential

Infrastructure for Scholarship in the Digital Age" ARL, no. 226 (February 2003): 1-7.

Why now?

Open access / scholarly communication crisis Culture of the Net Digital preservation Reputation management

www.dlearn.arizona.edu

arrow.edu.au

eprints.iisc.ernet.in

eprints.anu.edu.au

www.thesesalive.ac.uk

www.lib.gla.ac.uk/daedalus/

repositories.cdlib.org/escholarship/

www.keurderwetenschap.nl/en/page/language.view/keur.page

Our test server

CNRI Handle persistent identifier

www.utsc.utoronto.ca/~fulthorpe/

Plus GoogleScholar

In about a year:

4,177 hits

online CV: 1681

ave. chapter visits 229

Six library copies

circulated once

57 times since 1992.

Stakeholders and users / External and internal Academics Library Staff Students Administrators Internal Research Staff External Researchers General public Funding bodies Other

Who will be

•Supportive

•Hostile

•Worried?

Your why Stakeholders why… The real why The immediate why.. The long term why..

Why Scholarly communication repository Storing learning materials and courseware Electronic publishing Managing collections of research documents Preserving digital materials for the long term Showcasing a university’s / administrative unit / faculty

member research Institutional leadership role for the Library Knowledge management Research assessment Encouraging open access to scholarly research Housing digitized collections Building collaboration with faculty, other institutions…

Implementation approaches

Top down or bottom up Inward or outwards start/focus Extent of ownership vs. collaboration

Technical Broader Distributed responsibility within the library

Linear or evolving All with a long term commitmentAll with a long term commitment

Implementation: Steps

Institutional Analysis Policy Development Content Recruitment Funding Service Model

IRs without advocates and beneficiaries = unfunded mandate (Ann Wolport, MIT)

Policy Issues Institutional Policy regarding self-

archiving Far more important than technology

Content Policy Submission Policy Access Policy Rights Policy

Diversity of contents requires diversity of policies

Policy Formulation

Who should be at the table? Provost / Dean/ Department Heads? Research Office? Library Director/ IT Director? Librarians? Faculty? Graduate Students? University Press?

www.eprints.org/signup/fulllist.php

irra.eprints.org

Content Policy: What to include? Published, peer-reviewed

literature Pre-Prints Electronic Journals Learning Materials Institutional Records Conference Proceedings Primary sources

Theses Datasets Books Ebooks Images Other

Content Policy: Who decides?

Who can submit content? Faculty, research affiliates, students?

Must the work be education or research-oriented? Will the repository accept peer-reviewed content only? Does the work have to be born digital? Does the work have to be in finished form, ready for

distribution? Does the author/owner have to grant the service the right to

preserve and distribute the content? If the work is part of a series, must other works in that series

be contributed as well?

Adapted from Barton and Waters, 2004 http://dspace.org/implement/leadirs.pdf

Content Policy : Organization

How will your collections be organised e.g. by Department, Subject, or Document Type?

What constitutes a collection? Who determines and authorises submitters? What are your contingency plans if a

department ceases to exist?

Submission and Access Policy Is there an approval process for content being submitted? Are submitters notified of an item’s progress in the submission

process? Are there content size limits for individual items, individual

faculty members, or collections? Will you have a user agreement with end-users of the

system? Will you institute a privacy policy for those who register with

the system? Will you allow limited access to certain items?

From Barton and Waters, 2004 http://dspace.org/implement/leadirs.pdf

Rights Policy

Who owns the content submitted? What about previously published materials?

Majority of publishers already allow self-archiving http://www.sherpa.ac.uk/romeo.php

Educate faculty about retaining non-exclusive distribution or self-archiving rights

romeo.eprints.org/stats.php

Service model

What is the service’s mission? What kinds of content will you accept? Who are the key users? Who are the key stakeholders? What services would you offer if you had unlimited resources? What can you afford to offer? Will you charge for services? What responsibilities will the library bear versus the content community? What are your top service priorities? What are the short-term priorities and long-term priorities? What type of organizational commitment in being made?

Content recruitment

Identify research strength of your institution Contents that can be immediately archived Early adopters High profile researchers Understanding disciplinary differences in

research and publication practices

Early adopters

High profile and powered individuals and/or units

Demonstration collection(s) Differences

Disciplinary “Career” stage Administrative structure

Detailed feedback Resources to make it happen

Integration with other resources Training and user support

One on one Existing venues and committees

Course management Catalogue Search engines

Typical staffing and governance Co-ordinator Liason(s) Technical support Submitters Situated in

Collection development Systems Cataloguing..

2 committees: Faculty or user Internal policy group

Software platforms

DSpace UNIX-like OS / Windows Java PostgreSQL Apache Ant 1.5 or later Jakarta Tomcat 4.x/5.x Lucene – full text

SRW (Search & Retrieve

Web Service) OAI compliant CNRI Handle System

EPrints UNIX-like OS Perl MySQL Apache OAI compliant UTF-8

Software Platform Should be open source

Community development Well tested and supported Low barrier customization by each institution Closely track related Internet and standard developments

OAI compliant Enable interoperability or sharing Enable discovery and linking

Developed by academic/research institutions Suited for scholarly needs

Workflow - submission, approval and collection management

Technical Staff requirements

(UNIX) System administrator Programmer

(Java -DSpace/Perl-EPrints)

Optional Digitization services collaboration File migration expertise

U of T’s Hardware

IBM P670 server AIX 5.2, 2 processors 1.1 GHz each 3.6 GB Memory 1 x Gigabit Ethernet 2 x Gigabit Fibre Channel Main storage is on a SAN,

running 2 FAStT 500 storage servers. Backup - Tivoly Storage Manager

4.2, tape library capacity 100TB 3061 or 2.98 GB docs

Costing

No firm figures 100,000 American or Canadian JISC (Start up £80k, annual £ 40k)

Think about Categories Incremental vs. opportunity costs Long term integration into operating budget

Preservation approaches

Only accepting certain types of files Migrating all / some files on ingest Preservation commitment varies with

file format Content

Look at 3 to 5 year

Copyright

Misinformation Lack of awareness about self archiving Rogue actions Concern over their own

Copyright compliance Intellectual property

Creative commons

Resources Institutional Planning

McLendon, W. 2005. Institutional repositories: a white paper for the UNC-Chapel Hill Scholarly Communications Convocation http://www.unc.edu/scholcomdig/whitepapers/mclendon.html

Ottaviani, J and Snavely, C. 2003. Towards a University of Michigan Institutional Repository: a study and prototype proposal http://www.umdl.umich.edu/pubs/inst-repos20031112.html

Ober, J. 2005. Postprint Repository Services: Context and Feasibility at the University of California. http://osc.universityofcalifornia.edu/responses/materials/UC_postprintstudy_final.pdf

Links to Samples of Institutional Policies on self-archiving http://www.eprints.org/signup/fulllist.php

Resources Guides

Barton, Mary and Margaret Waters. “Creating an Institutional Repository: LEADIRS Workbook” 2004 MIT Libraries. www.dspace.org/implement/leadirs.pdf

A Guide to Institutional Repository Software v 3.0. http://www.soros.org/openaccess/software/

General Foster, Nancy and Susan Gibbons. “Understanding Faculty to Improve

Content Recruitment for Institutional Repositories.” D-Lib Magazine, January 2005. www.dlib.org/dlib/january05/foster/01foster.htm

Mackie, Morag. “Filling Institutional Repositories: Practical strategies from the DAEDALUS Project.” Ariadne. April 2004. www.ariadne.ac.uk/issue39/mackie/

Copyright FAQ by the Indian Institute of Science http://eprints.iisc.ernet.in/copyrightfaq.html

Questions and answers about opening up access to research results http://www.jisc.ac.uk/issue_qaopen.html

Thanks!

Leslie Chan chan@utsc.utoronto.ca

Rea Devakos rea.devakos@utoronto.ca

Implementing & filling institutional repositories Leslie Chan...

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