Policy Frameworks: building a firm foundation for your IR Jackie Knowles ‏

Aim of the session To gain an understanding of policies and their purpose in a repository context. To outline some key strategic and operational policies of use to repository managers. To demonstrate the OpenDOAR policies tool which assists managers in creating their policy framework.

Content The place of policy Strategic policies Operational policies Use policies Content policies Submission policies Preservation policies The OpenDOAR policy tool - demonstration Conclusion 3

Why do we need a policy? ©Terry Bain 4

The place of policy For purpose For clarity For planning For support a high-level vision will help buy-in For clarity Clarify responsibilities and lines of communication To inform practice and define process Promote equity, standardisation and consistency For planning risk management IPR and compliance clarifying policies exposes resource implications For support formalises decisions get sign-off by senior managers This is the intro slide and gives some of the reasons why policy is important. Purpose – selling the concept of a repository often what we need to do, a policy defines your vision and aids this It is useful to note that most repository managers will already be taking policy decisions regularly as they set up their repositories, a good policy framework will formalise these and create a record of decisions taken. 5

Strategic institutional policies Institutional IPR policy research teaching materials theses Dissertations Institutional mandates Funding body policies Start with the wider policy environment for repositories as a bit of background – only going to look at this briefly as the bulk of the session today will concentrate on the more operation and practical policies. A repository does not sit in isolation and will have to fit in with the wider policy environment within the institution. In particular IPR policy of particular importance here, repository IPR policy needs to fit the bigger picture. Other top level policies which impact on the IR may exist such as information management policies. Audit current practice and get to know your strategic environment, then tap into existing strategic framework, or use a repository as a driver to formalise and create the wider framework. Note about institutional mandates here – top level policy to encourage or instruct authors to deposit into the repository. This point may be one we need to expand on? Outline the debate, carrot or stick? Other policies being defined outside the institution also impact on your repository – explain about funding bodies who are putting policies in place that academics need to abide by – terms and conditions of grant etc to deposit in a repository. 6

Operational policies Key policy options Use policies Metadata Data Content policies Submission policies Preservation policies Now start to look at the more operational policies to do with running an institutional repository. Define how you deal with the things coming into your repository and how they are subsequently handled and used. Outline the key policy options – for the sake of today breaking them down like this but this is flexible and decisions of how to label these can be taken locally – important thing is to make sure you have covered all the salient points somewhere! Need to define what people can do with the metadata and data you collect, these two link together to cover the use and re-use of the content within your repository. Equate to terms and conditions of use of your database. Content policy - equates to collection policy, what you will accept – formats subjects, languages Submission – about the depositors – who can submit, what happens when the leave/retire Preservation – how will you look after the material in the repository in the long run. 7

Use policies define … What end users can do with your metadata and content How you deal with restrictions and conditions imposed by publishers Whether you have a repository wide policy, or define permitted use at an item level Take down policy Further detail about use policies. Explain take down policies and their importance. 8

Content policies define… Repository Type Institutional or departmental repository Multi-institution subject-based repository Subject Specialities Type of Material e.g. Research papers, e-theses, learning objects etc. 9

Content policies define… Publication Status Pre-prints (not peer-reviewed)‏ Final peer-reviewed drafts (post-prints)‏ Published versions Principle Languages 10

Submission policies define … Eligible Depositors By role and/or organisation unit Or their delegated agents Deposition Rules Who can deposit what – usually own work only Staff movement policies Mandatory deposition of metadata How embargoes are dealt with 11

Submission policies define … Moderation (vetting)‏ What, if anything, is vetted by the administrator e.g. eligibility, relevance, valid layout. Content Quality Control (peer review)‏ Responsibility for the validity and authenticity of the content Not checked, or checking by internal subject specialists. Copyright Policy Responsibility for copyright clearance Dealing with proven copyright violations 12

Preservation policies define … Retention period Functional preservation File preservation Withdrawal policy Version control Closure policy 13

The OpenDOAR policy tool OpenDOAR has created a simple tool to help repository administrators to formulate and/or present their repository's policies. It provides a series of check boxes and pick lists for all the key policy options.

Demonstration http://www.opendoar.org/tools/en/policies.php Suggested that a good portion of the talk is dedicated to providing a live demonstration of building a policy using the OpenDOAR tool. Presenter will have to familiarise themselves with this tool and plan for this section. 15

Conclusion Remember the importance of a take down policy. Your policies will be formalised in your licences. User licence Submission licence Your policy will be a living document – define it, use it, review it, update it.

Policy tips Look at OpenDOAR. Learn from others! - ask around for copies of repository policies. Ask for help from the RSP!

Jackie Knowles‏ jackie.knowles@aber.ac.uk