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

2. 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.

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

4. Why do we need a policy?
©Terry Bain 4

5. 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

6. 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

7. 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

8. 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

9. 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

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Pre-prints (not peer-reviewed)‏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

11. 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

12. 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

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

14. 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.

15. 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

16. 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.

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

18. Jackie Knowles‏