Metadata capture for effective Open Access management ... · @arma_uk Metadata capture for...
Transcript of 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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
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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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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)
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EPrints Open Access institutional codePart of E2E Open Access specification
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• 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
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Practical steps to implementing OA specifications
Speak to system supplier
Ask for standard offering
User Group agrees spec
Test
Share results
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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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
Practical strategies for OA
Management
David Young
Northumbria UniversityOptimising Resources to Develop a Strategic
Approach to OA – Jisc Pathfinder
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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?
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
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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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
A quick reminder of OA..
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
www.arma.ac.uk@arma_uk
A quick reminder of OA..
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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_uk
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
Things to look out for:
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
Processes and workflows for an
Open Access Service
Chris Awre
University of Hull
HHuLOA Pathfinder project
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
HHuLOA Open Access life cycle
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
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
www.arma.ac.uk@arma_uk
You are not alone…
• If in doubt, ask
• ARMA OA SIG
• UKCoRR – UK Council of Research
Repositories
• Jisc OA Good Practice Community
www.arma.ac.uk@arma_uk
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