Slides that acompany the lecture and workshop I gave 24th March 2011 to postgraduate students at the University of Loughborough. The focus is mostly on giving a view of the world of repositories and open access, with an especial skew towards the pros and cons of running an institutionally based service.

1. Institutional RepositoriesWhat the Open Access agenda means for a modern institution Gareth J Johnson Leicester Research Archive David Wilson Library University of Leicester 24 Mar 2011 Twitter: llordllama Email: gjj6@le.ac.yuk lra.le.ac.uk

2. Overview Introduction Open access & repositories overview The world of the LRA Challenges and wider agenda Group exercise Questions & Discussion

4. 1500 User spaces

5. 38km shelving

6. 1M+ volumes on shelves

7. 350 PCs + wireless network

8. 13 Group study rooms

9. Graduate Media Zoo

10. 2 IT training suites

11. Also houses Careers, Accessibility & Student Learning Deptswww.le.ac.uk/li/about/building/factsandfigures.htm

12. Leicester’s Repository The Leicester Research Archive (LRA) Supports Leicester research visibility agenda Collects research publications and related outputs Bibliographic records for all entries Full text where available and legal Administered as a Library central service Core team enable archiving and advice RSS feeds for Departments and collections DSpace v 1.7 platform Webometrics 165th ranked HEI Repository globally Highly ranked #16th HEI Repository in the UK

13. Open Access: Defined By 'open access' to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited Budapest Open Access Initiative

14. Open Access Open access to scholarly publications Born in 1990s in STEM communities Academic frustration over inability to access published research Exploits allowable exceptions in © law Increasingly mainstream since early 2000s All Russell Group Universities have repositories 134 institutional repositories like the LRA in UK 19 institutional research mandates Most also require or mandate doctoral theses deposited electronically

15. Repository Flavours Subject Single subject, curated by academics Risk of loss of enthusiasm and support Institutional/Dept/School Contain materials as defined by local policy Usually centrally maintained for the long term ETD Contain theses, dissertations only Often but not always based in institutions OER Repository Educational teaching objects and resources

16. Routes to Open Access Open access archiving (OAA) [The Green Route] Works alongside traditional publishing Authors gifting away their rights to publishers Open access repositories to host and curate materials Archive papers, theses, reports etc on repositories Subject and institutional repositories Open access publishing (OAP) [The Gold Route] An alternative approach to traditional practice Pay-up front model of funding Authors retain their rights to their work Fully OA journals or paid publisher options

17. Open Access Archiving(Green Route) Publisher’s Version PostReview PreReview Repository

18. Open Access Publishing (Gold Route) Published Version PostReview PreReview Repository

20. Enhanced global readership prospects

21. Enhance dissemination speed

22. Protects against plagiarism

23. Increases visibility

24. Enhances your professional visibility

25. Recognition for scholastic contribution

26. Commercial able to access & collaborate

27. Public access to publically funded research

28. Increases citation & referencing

29. More visible work is more likely to be cited

30. Citations crucial for professional advancement

32. Academic Reactions “It’s at the heart of our research visibility and future fiscal stability and growth” “I’d like to test the waters with some book chapters” “I’ve kept meaning to get round to depositing, but just never seem to find the time.” “What? Never heard of it?” “You’re stealing my research!!!”

33. OA Pyramid of Academic Engagement

34. Good Researcher Practice Encourage retention of pre-publication versions of submitted publications Submit copies to IR the at the same time as to publishers Consider making use of the SPARC Author Addendum or publish in OA-journals Link to IR hosted publications in emails and communications Encourage student use of locally authored work

35. Mandates Requirement to make research publications Available as open access objects Operates within copyright licenses Three types of which to be aware: Institutional, Thesis & Funder Can be satisfied by an IR And/Or appropriate subject repository E.g. UKPMC, Repec, arXiv

36. Mandates: Institutional Increasingly popular top level support Recognition of OA fiscal and strategic benefits Where copyright doesn’t allow immediate deposit Metadata bibliographic only record created Leicester Research Publications Policy Institutional mandate enacted by VC/Senate May 2009 All research publications (2006-date) full-text to be deposited in LRA Bibliographic data added to the RED/IRIS

37. Mandates: Theses Increasingly eThesis deposit mandated Same reasoning as for academic work UK behind the US, Australia & Scandic Countries Concerns from students 3rd party copyright issues and awareness training Pre-publication concerns seem mostly unfounded Delays or (semi)-permanent restrictions Moratorium/Embargo delay allows for publication Permanent lockdowns usually only granted for ethical, commercial or security reasons Alternative –> edited versions on repositories

38. Ethos (British Library) Retrospective digitisation requests Requirement of contacting author & signing of author license Subscription or first requestor pays models Increased institutional copyright risks Print depositors didn’t agree to electronic format 3rd party issues unchecked at time Tracing authors for permission major time and throughput constraint Issues outstanding with Ethos Work flow issues and concerns Future of service currently being reviewed Confusion between IR and Ethos

39. Funder Mandates Many UK research funders have OA mandate policies Notably all RCs and the major medical charities OA policy part of grant rules from 2006 Generally apply to conference proceedings and peer-reviewed journal articles only Deposit expected ASAP or earliest opportunity Some set time periods e.g. 6 months Some now collecting data on outputs Calls for additional funding to support OAPub

40. Preservation Underlying commitment from institution to maintain repository integrity Durable handles (persistent URLS) for all items Tombstoningof items taken down Avoidance of bitrot formats E.g. Old MS Office formats PDF/A-1 (ISO 19005-1) is preferred text standard Range of standards for other materials Some formats can be more problematic

41. Trends in the Repo World Projects -> Services Throughputs and targets Metrics & the REF CRIS & integration SWORD & CERIF standards Data and educational repositories ©, publishers and Rule 7 breaches

42. Repository Community Still a relatively new field Few hundred people across the UK Friendly and mutually supporting Mostly LIS trained but not all Support from the JISC projects & initiatives Other supporting bodies Repositories Support Project (RSP) Centre for Research Communication (CRC) UK Council for Research Repositories (UKCoRR)

43. Their Life in Your Hands Examine some real challenges faced by repository staff Based on today & own knowledge Three vital questions for each scenario What would be the most effective response? What problems or issues do you foresee? What steps could be taken to minimise them? Work in groups and then report back

44. Feedback Repositories are as much about people as they are objects There are many, many grey areas and a lot of institutional policy is responsive Have to be cautious of setting precedents Flexibility and responsiveness in a dynamic environment is important

45. Closing Thoughts

46. Gareth J Johnson Document Supply & Repository Manager gjj6@le.ac.uk 0116-252-2039 Twitter: llordllama Rob, Valérie & Margaret LRA Administrator team lra@le.ac.uk/ethesis@le.ac.uk extn 2039 Slides: http://www.slideshare.net/GazJJohnson Contacts