metadata capture for effective open access management ... · @arma_uk metadata capture for...

www.arma.ac.uk@arma_uk

Metadata capture for effective Open

Access management/reporting

Kate Walker

University of Southampton

E2E Pathfinder Project


Rationale for OA systems/metadata management

• Need standardised terminology

– What counts as Open Access? Green? Gold? ‘Free’?

– Version identification – Accepted Manuscript, Author Approved Manuscript, post-print might be the same thing

• Enables interoperability between systems

• Reduces admin

• Ensures quality of information


Rationale for OA systems/ metadata management

• Compliance Reporting for funders

– Research Councils UK (RCUK): gold/green, funder, embargo, licence, version etc.

– Charity Open Access Fund (COAF): gold,

funder, PubMed ID, licence, version etc.

– HEFCE Research Excellence Framework :

embargo, licence, acceptance date etc.

– Others, e.g. EU


Rationale for OA systems/ metadata management

• Own internal reports (e.g. may require OA

status for appraisals)

• Institutional audit prior to REF OA

requirement start date (1st April 2016)

• Jisc Total Cost of Ownership project


Examples of OA specifications for metadata management

CASRAI

• Open Access APC report

profile available – more to

come

• Not system specific

E2E OA specification

• Crowdsourced at E2E

workshop

• Not funder/system specific

RIOXX (for RCUK)

• HHULOA project RIOXX

review

CASRAI

E2E OA

Specification

RCUK

REF

Others

http://dictionary.casrai.org/Open_Access_APC_Report

https://docs.google.com/spreadsheets/d/1ViOQj5Cj9mlkFCTjCMjtAA6pELEM9s_82IGfSJF5lv0/edit

http://rioxx.net/

https://library3.hud.ac.uk/blogs/hhuloa/2015/06/29/rioxx-review-and-proposed-practice/


Examples of OA metadata in action

• RCUK functionality for EPrints, DSpaceand Hydra (based on RIOXX)

• EPrints OA Institutional functionality (code available in Github)

• REF EPrints plug-in (coming soon)

• PURE Open Access module (available in next release)

• Jisc spreadsheet (reports for RCUK & COAF)


EPrints Open Access institutional codePart of E2E Open Access specification


• Produces reports for RCUK, Jisc, COAF

• Reduces time taken to process enquiries

• Report has been tested by Jisc for

suitability

EPrints Open Access institutional code


Practical steps to implementing OA specifications

Speak to system supplier

Ask for standard offering

User Group agrees spec

Test

Share results


Community engagement

• EPrints code for comment and improvement

• CASRAI looking for feedback

• The first draft of the open access APC Report profile is available for viewing and comment

• Register to contribute to the discussion

• REF, RCUK, and internal institutional information still to be released in ‘CASRAIfied’ format – coming soon

https://github.com/eprintsug/OpenAccess

http://dictionary.casrai.org/Open_Access_APC_Report

http://dictionary.casrai.org/Special:RequestAccount


Principles for OA systems/metadata management

• Checklist of key requirements

• Use existing offerings if possible

• Don’t reinvent wheel

• Work together as a community

• Reiterate and improve

• Engage with a user group if you have one!

• Feedback to CASRAI


Practical strategies for OA

Management

David Young

Northumbria UniversityOptimising Resources to Develop a Strategic

Approach to OA – Jisc Pathfinder


What do we want to achieve?

• Policy: A fully embedded OA policy, endorsed by senior managers and communicated to all stakeholders

• Funding: An OA publication fund and clear procedures for allocation

• Support: OA support staff at institutional and/or faculty/departmental level

• Processes: Fully documented processes and procedures, regularly updated with clearly assigned responsibilities

• Systems: Robust systems delivering information needed for compliance


How do we get there from here…?

• Where are we now?

• Who are the stakeholders and what are

their needs?

• Who has overall responsibility?

• Who can help get this started/sustain

momentum?

• How can we establish shared ownership?


Where are we now?

• CIAO tool can give a picture of current strengths and weaknesses

• HHuLOA baseliningspreadsheet

• Open Access Case Studiesshow areas of good practice/challenges

• Institutional knowledge/memory

https://radar.brookes.ac.uk/radar/file/695b9555-c2f4-4aae-9107-176fa04531b4/1/CIAO-spreadsheet-workshop.pdf

https://docs.google.com/spreadsheets/d/1MN7Qw_wlU2LMGnlcmjzgufJZuhzL6F_ay4lhcQEGKv8/edit#gid=0

https://oapathfinder.wordpress.com/tag/case-study/


Who are the stakeholders?• Library

– Repository team

– Scholarly Publications

– Acquisitions (financial aspects)

– Research Services

– Information/E-Resources

• Research Office

• Academic staff: ECR - Prof

• Senior managers: Deans, PVCs

• Faculty/Dept/School administrators

• Finance/Planning

• IT Services

• Marketing

• HHuLOA UK Open Access Life Cycle

http://eprints.hud.ac.uk/24260/1/UK_Open_Access_Life_Cycle_Diagram_June2015.pdf


Who has overall responsibility?

• This is often the Library:– Already responsible for repository

– Repository is starting point of OA policy (Green vs

Gold)

– May have already been coordinating payment of

Article Processing Charges

• Other involvement:– Research Office

– Academic Staff

– Senior Managers


Who can start/sustain this process?

• Senior manager involvement is essential– Chairing committees/working

groups

– Sending out key OA communications

– Helping to foster a change of culture

• Committee provides oversight

• Working group chaired by Associate Dean/Director of Service

• Cost modelling can help to establish case for Gold OA fund

Committee Rooms by National Assembly for Wales

CC BY 2.0

https://oapathfinder.wordpress.com/2015/07/06/cost-modelling-tool-now-available/


How to establish shared ownership?

• It is important to establish good

communication between services –

particularly Research Office and Library

• Academic staff representatives part of OA

Working Group

• Single outward facing point of contact is

equally important


Defining an OA service

Recognising that all institutions are unique, we’ll consider:

• What principles underpin a successful OA service

• Who needs to be involved and when

• What the practical steps need to be taken to embed workflows on a human and technical level

• Examples of methodologies/ techniques that highlight good practice


A quick reminder of OA..

“Open Access (OA) literature is digital, online, free of charge, and free of most

copyright and licensing restrictions.”

Peter Suber. Open Access. Cambridge, Mass.: MIT Press, 2012.

Green OA Gold OA

Published in a subscription based

journal

Published as OA in an OA or hybrid

journal

OA, usually after an embargo period OA immediately on publication

No charge for OA May require payment of an Article

Processing Charge (APC)

For more information, see the Manchester Pathfinder (opeNWorks) OA toolkithttp://find.jorum.ac.uk/resources/10949/20126

http://find.jorum.ac.uk/resources/10949/20126



Policy mandates from research funders

• Many major research funders (Research Councils UK, the Welcome

Trust, the EC) require publications to be made available open access.

• Next REF exercise will only include OA publications. Publications must

be deposited in a repository within 3 months of acceptance - this

requirement starts from April 2017 (previously April 2016, but HEFCE

has allowed another year).

• Any researcher who wishes their research to be eligible for the next

REF will need to make articles arising from their work open access.

Therefore any institution producing research will be affected


What we’ll cover..

• Practical strategies to OA management: David Young, Northumbria University

• Processes/ workflows for efficient OA implementation: Chris Awre, University of Hull

• Metadata capture for effective OA management/ reporting: Kate Walker, University of Southampton

• Q&A 10mins


Pathfinder projects

OA Good Practice

Pathfinder projects aim

to develop shareable

examples of good

practice, so that a range

of approaches can be

collaboratively

developed and applied

according to individual

institutional needs

Cost Management

Advocacy

Policy and baselining

Structural Workflows

Systems and metadata

Workshops/ events

www.arma.ac.uk@arma_uk02/10/2015 Jisc OA Good Practice,

Helen Blanchett

27

Find out more:

• All outputs on OA Good

Practice blog

• Project Synthesis/

Update- October

• Next webinar- Advocacy

19th November

• Ongoing Events/

workshops

OA Good Practice blog:

http://openaccess.jiscinvolve.org/

@OA_GoodPractice

[email protected]

Things to look out for:


Summary

• Be clear about your needs

• It is important to establish good communication between services – particularly Research Office and Library– Engage with Academic staff as much as possible

– Single outward facing point of contact is important

– Maintain the message to embed processes

• KISS – Keep it Simple…– Use existing offerings if possible

– Don’t reinvent wheel

– Reiterate and improve

• Work together as a community– Be open about working with each other across stakeholder

groups


Processes and workflows for an

Open Access Service

Chris Awre

University of Hull

HHuLOA Pathfinder project


OA into practice – a shopping list

• Green OA

– Repository/CRIS

– Deposit workflow

– Metadata set

– Clarity on rights

– Reporting

– Embargo

management

workflow

• Gold OA

– Repository/CRIS

– Deposit workflow

– Metadata set

– Clarity on rights

– Reporting

– Article Processing

Charge payment

workflow


Good practice principles

• Communicate clearly and often

– Make sure staff don’t have an excuse of not knowing

• Repository/CRIS workflows

– Is the software doing what you need it to?

• Who is involved?

– OA stakeholders in the institution

• Who is doing what?

– Collaborative workflows


Communication, communication,

communication

• Academic staff need to know clearly what they are being asked to do

• Possible routes

– Website / libguide

– Postcards / flyers / stickers

– Emails / newsletters

– Meetings / presentations

• Combine elements into a plan to aid clarity and generate a clear message


Repository/CRIS workflows

• Repository/CRIS systems are likely to come with default workflow

– How much can you alter this to suit local needs?

• Regular vs. edge case deposit scenarios

– How does the system manage this difference?

• Changes needed?

– Work with system user group to influence supplier


Who is involved?

• Open Access benefits from input across the institution– Library

– Research Office

– Senior academic managers, e.g., Deans, PVC

– Faculty/Dept/School admin/management

– Marketing

– IT

– Finance/Planning

– Academic staff!

• Communication and clarity amongst stakeholders will aid wider communication


Who’s doing what?

• Break-up workflows into discrete parts and

agree who will cover/lead which

– Where are the joins and who will work with who?

– Is this affected by repository/CRIS responsibility?

• Do not under-estimate the workload!

– Many hands make light work

• Have a process review in place to adapt to

policy/local changes


HHuLOA Open Access life cycle


Making it lean

• St Andrews study on improving open

access workflows

– Communication and advocacy

– APC transactions

– Open Access compliance

• Two fundamentals informing OA practice

– Continuous improvement

– Respect for people


Case studies

• Northumbria/Sunderland Pathfinder case

studies

– University of Hull

– Durham University

– University of Lincoln

• Different perspectives on current OA

practice and implementation

– Includes tips for improvement and review


OA toolkit

• University of Manchester has developed

an OA toolkit to get staff up and running

– Background for support staff (including

reporting tips)

– Sample FAQ questions

– Sample presentation for use in explaining

open access

• NB. Contrast between regular and edge

case open access


In summary…

• KISS – Keep it Simple…

• Be open about working with each other

across stakeholder groups

• Be clear about how your repository/CRIS

is supporting your needs

– Engage in user groups

• Maintain the message to embed

processes


You are not alone…

• If in doubt, ask

• ARMA OA SIG

– [email protected]

• UKCoRR – UK Council of Research

Repositories


• Jisc OA Good Practice Community


mailto:[email protected]




Thank you

[email protected]


Links

• HHuLOA Open access life cycle

– http://eprints.hud.ac.uk/24260/

• St Andrews lean management case study

– https://goo.gl/oqqO5A

• Northumbria/Sunderland case studies

– https://goo.gl/TSglgE

• Manchester toolkit

– http://find.jorum.ac.uk/resources/10949/20126

http://eprints.hud.ac.uk/24260/

https://goo.gl/oqqO5A

https://goo.gl/TSglgE

http://find.jorum.ac.uk/resources/10949/20126

metadata capture for effective open access management ... · @arma_uk metadata capture for...

Documents