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A Librarian’s Process for Building an Institutional Repository

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A Librarian’s Process for Building an Institutional Repository

Building an institutional repository is a big job, but like all big jobs it can be broken into a series of logical steps. Here’s a

process you can customize for your library and institution.

A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 2

Table of Contents

The Overall Process

Project Initiation

Define Content

Define Feature Set

Create Metadata Schema

Define Access Protocols

Define Maintenance

Choose Tool

Author

Bibliography

1

2

3

4

5

6

8

9

10

11


The Overall Process

Watch the Library Connect webinar “Institutional & research repositories:

Characteristics, relationships and roles” to see 3 different approaches

(http://goo.gl/wLkSH5)

Start

Finish

Projectinitiation

Definecontent

Definefeature set

Createmetadata

schema

Defineaccess

protocols

Choosetool

Build/installand maintain

system

Definemaintenance

process


Project Initiation

Start

Finish

Meet withstakeholders

to defineproject goals

Formproject

team

Create detailed project plan and

team member responsibilities

and goals

Definetask forcemembers +

responsibilities

Create project documentation + deliverable

timelines


Set up a private group (https://goo.gl/CYh9JE) on Mendeley to share research and project

documentation, or join a public group (https://goo.gl/ex2Xpc) to learn from

other repository managers

Project InitiationEXAMPLES• Project plan• Stakeholder registers• Project calendars• Deliverables and milestones• Resource lists

TEAM MEMBERS• Anyone doing actual work

on project (designers, developers, catalogers, etc.)

RELEVANT DECISION MAKERS• Faculty representatives• Library leadership• Technical department heads• IT representatives

TASK FORCE MEMBERS• Chosen by stakeholders to

represent them in everyday project consultation

• Possess necessary skills to guide and evaluate project progress


Start

Finish

Meet withstakeholders

to defineproject goals

Formproject

team

Create detailed project plan and

team member responsibilities

and goals

Definetask forcemembers +

responsibilities

Create project documentation + deliverable

timelines

Define Content


Start FinishWill there

be a mandateto upload?

Define mandate

parameters and policies

Define content types and versions

to include

Define relationship

to institution’s digital

collections

Define repository taxonomy

no

yes

Consider the authors’ perspective by taking into account principles of academic freedom, reducing administrative burden and recognizing

individual achievement.

Define Content


• Theses and dissertations• Articles (accepted MS,

DOI full-text final versions, OA PDFs)

• Conference proceedings• Chapters of books• Research datasets• Lecture notes and/or videos• APIs/software applications• Metadata• Abstracts

• Entirely independent systems?• Shared CMS/DB with

separate UIs?• Shared system, different

access points?• Commingled content?

Start FinishWill there

be a mandateto upload?

Define mandate

parameters and policies

Define content types and versions

to include

Define relationship

to institution’s digital

collections

Define repository taxonomy

no

yes

Define Feature Set


What other systems should the IR integrate with? Can it ingest APIs to

help automate processes? Does it offer APIs to update departmental websites?

Start

Finish

Prioritize features

Conduct requirements

definition sessions with stakeholders

Identify desired

functionality

Define Feature Set


POTENTIAL FEATURES• Site navigation• Discovery modes (browse, search, advanced search, special

featured content, geolocation, timeline display, heat maps)• Data sharing (API access, citations, metadata download)• Download of artifact copies• Integration into main library site• Integration with online catalog• Feedback/customer support• Reciprocity with other internal sources such as

departmental sites? (faculty profiles, etc.)

Start

Finish

Conduct requirements

definition sessions with stakeholders

Identify desired

functionalityPrioritize features



Automate repository updates with ScienceDirect metadata. ScienceDirect APIs can check entitlements, link users to the best available version, display an access indicator,

check embargo end dates and embed final articles. (https://goo.gl/4V6GJ9)

yes

no

Start

Are schema

extensions needed for specific

artifact types?

Review existing metadata

for target artifacts

Choose schema based

on metadata needs

Define metadata completeness threshold for

artifact publication

Define responsibilities

for new artifact metadata creation

Define base

metadata set

Createmetadata

setextensions

Finish



The breadth and types of content expected to be included in the IR will dictate which schema fits best (DC, RDF, MODS, MARC, etc., or some specifically created hybrid)

yes

no

Start

Review existing metadata

for target artifacts

Choose schema based

on metadata needs

Define metadata completeness threshold for

artifact publication

Define responsibilities

for new artifact metadata creation

Define base

metadata set

Createmetadata

setextensions

Finish

Are schema

extensions needed for specific

artifact types?



yesno

Start

Finish

Need todifferentiateaccess based

on userlocation?


on user profiles?

Create user type

permissions profiles

Assign permissions

profile to artifact

categories

Define user

types

Createlocation

permissionprofiles

User types may include institutional users (can be entitled or non-entitled institutions)

and external entitled and non-entitled users.

no

yes



USER TYPE EXAMPLES• Admin• Contributor• Reference librarian• Institutional user• General public

Access to some artifacts may be allowed if user is in a certain location (e.g., a computer located in the engineering library building can access certain restricted engineering-related materials).

yesno

Start

Finish

Create user type

permissions profiles

Assign permissions

profile to artifact

categories

Define user

types

Createlocation

permissionprofiles

no

yes


on userlocation?


on user profiles?

Define Maintenance


Start FinishCreate

policies and documentation

Create ongoing

staffing plan

Create service-level

agreement

Create marketing and outreach plan

Institutional repositories are welcome to host research published by Elsevier under these

hosting guidelines: https://goo.gl/ymdwTB

Define Maintenance


• Create name• Branding• Launch announcement /

press release• Advertising to potential users• Outreach to faculty

• Who will manage the IR?• Who can modify metadata/

upload content?• Who is responsible for intake of

new materials?

• Submission alias/link• Acceptable materials list• Process for submitting entity to follow• Does faculty self-upload? • Metadata needs• How long will documents be kept in the IR?• How is versioning handled? (new versions,

updates, retractions)• Is there a parallel dark archive?

• Typical submission timetable• Self-upload or submission to IR staff?• Response timetables

- Submission inquiry - System error report - Metadata correction request

• Notifications of downtime, system upgrades, etc.

Start FinishCreate

policies and documentation

Create ongoing

staffing plan

Create service-level

agreement

Create marketing and outreach plan

Choose Tool


Start

Finish

Create decision criteria

Formulate initial

recommendation

Review with stakeholders and receive stakeholder

approval

Define initial set of

choices

Evaluate choices

Finalizechoice

Consider partnering with your Research Office to implement a system like Pure

(https://goo.gl/bKTwCl) that can capture and validate research information data, generate

custom reports and act as an IR.

Choose Tool


Start

Finish

Create decision criteria

Formulate initial

recommendation

Define initial set of

choices

Evaluate choices

Finalizechoice

POTENTIAL SYSTEM TYPES• Commercial• Open source• Customized third party• Build in-house

CRITERIA• Desired features • Support for software • Import organizational structures • Run advanced analytics • Store multiple content types• Customization requirements• Cost/benefit analysis• Need for control over future

system development• Staffing capacity

• Define weighting of criteria (some are more important than others)

• Score options according to each criteria

• Top weighted score wins

Review with stakeholders and receive stakeholder

approval

LIBRARY CONNECTBLUEPRINT FOR SUCCESS

Leo StezanoLeo Stezano Consulting

Leo just completed a three-year engagement as Project Manager at the Avery Architecture and Fine Arts Library at Columbia University. He received his MLIS from Syracuse University in 2011. Previously he spent many years in the private sector, working in project and product management and business analysis for a variety of companies. His professional interests include digital librarianship, process optimization and innovative technical project philosophies.

[email protected] | @LeoStezanohttps://www.linkedin.com/in/leostezanohttp://litablog.org/author/lstezano/

Bibliography

I’d like to specially thank Reggie Raju, Deputy Director of Client Liaison Services at the University of Cape Town, and Laurie N. Taylor, Digital Scholarship Librarian at the University of Florida, for their help while researching this project. Their expertise on institutional repositories was instrumental in putting together this guide. -- Leo Stezano

Armbruster, C., & Romary, L. (n.d.). Comparing repository types. Retrieved March 1, 2016, from http://arxiv.org/ftp/arxiv/papers/1003/1003.4187.pdf

Armstrong, M. (2004). Institutional repository management models that support faculty research dissemination. Retrieved March 01, 2016, from http://scholarworks.boisestate.edu/cgi/viewcontent.cgi?article=1095&context=lib_facpubs

Bailey, C. W., Jr. Institutional repository bibliography. Digital Scholarship, 2009-2011. Retrieved March 01, 2016, from http://digital-scholarship.org/irb/research.htm

Bankier, J. G., & Gleason, K. (2014). Institutional repository software comparison. Retrieved March 01, 2016, from http://www.unesco.org/new/fileadmin/MULTIMEDIA/HQ/CI/CI/pdf/news/institutional_repository_software.pdf

Barton, M. R. & Walker, J. H. (n.d.). Building a business plan for DSpace, MIT Libraries’ digital institutional repository. Retrieved March 01, 2016, from https://dspace.mit.edu/bitstream/handle/1721.1/26700/Barton_2003_Building.pdf?sequence=1

Bruns, T. A., Knight-Davis, S, Corrigan, E. K., & Brantley, J. S. (October 2014). It takes a library: growing a robust institutional repository in two years. Faculty Research & Creative Activity. Paper 98. Retrieved March 01, 2016, from http://thekeep.eiu.edu/lib_fac/98

Building a framework for IR success: a case study on the development of DigitalCommons @Brockport at the College of Brockport (2014). Digital Commons Reports and Statistics. Paper 16. Retrieved March 01, 2016, from http://digitalcommons.brockport.edu/dc_reports/16

Bull, J. and Eden, B. L. (2014). Successful scholarly communication at a small university: Integration of education, services, and an institutional repository at Valparaiso University. College & Undergraduate Libraries 21(3/4): 263-278. Retrieved March 01, 2016, from http://scholar.valpo.edu/cgi/viewcontent.cgi?article=1024&context=ccls_fac_pub


Bibliography

Burns, C. S., Lana, A., & Budd, J. M. (2013). Institutional repositories: exploration of costs and value. D-Lib Magazine, Vol. 19(1/2). Retrieved March 01, 2016, from http://www.dlib.org/dlib/january13/burns/01burns.html

Crow, R. (2002). SPARC institutional repository checklist & resource guide. Retrieved March 01, 2016, from http://www.sparc.arl.org/sites/default/files/IR_Guide_%26_Checklist_v1.pdf

Duranceau, E. F., & Kriegsman, S. (n.d.). Implementing open access policies using institutional repositories. Retrieved March 01, 2016, from http://www.ala.org/alcts/sites/ala.org.alcts/files/content/resources/papers/ir_ch05_.pdf

Gugler, K., Weichselbaumer, M. & Zulehner, C. (2014). Competition in the economic crisis: Analysis of procurement auctions. European Economic Review, 73. pp. 35-57. Retrieved March 01, 2016, from http://epub.wu.ac.at/4524/1/Gugler_etal_2015_EER.pdf

Koulouris, A., Kyriaki-Manessi, D., Giannakopoulos, G., & Zervos, S. (February 2013). Institutional repository policies: best practices for encouraging self-archiving. Procedia - Social and Behavioral Sciences, 73 (27), pp. 769-776, Retrieved March 01, 2016, from http://ac.els-cdn.com/S1877042813004102/1-s2.0-S1877042813004102-main.pdf?_tid=6a1edb24-e0d7-11e5-952200000aacb35d&acdnat=145696 5330_eede697861b490f3e5413e232e9622be

Lee, J., Burnett, G., Vandegrift, M., Baeg, J.H. & Morris, R. (2015). Availability and accessibility in an open access institutional repository: a case study. Information Research, 20 (1), paper 661. Retrieved March 01, 2016, from http://www.informationr.net/ir/20-1/paper661.html#.VteIg5wrLIU

Li, Y., & Banach, M. (2011). Institutional Repositories and Digital Preservation: Assessing Current Practices at Research Libraries. D-Lib Magazine, Vol. 17 (5/6). Retrieved March 01, 2016, from http://www.dlib.org/dlib/may11/yuanli/05yuanli.html

Murdoch, R. (2013). Increasing the discoverability of institutional video: a survey of current trends and best practices. Proceedings of the Charleston Library Conference. Retrieved March 01, 2016, from http://docs.lib.purdue.edu/cgi/viewcontent.cgi?article=1523&context=charleston

Oleen, J., Farmer, D., & Olsen, L. (2014). Publishing and archiving trends in open access: preliminary results. Kansas Library Association College and University Libraries Section Proceedings: Vol. 4 (2). Retrieved March 01, 2016, from http://newprairiepress.org/cgi/viewcontent.cgi?article=1045&context=culsproceedings


Bibliography

Palmer, C. L., Teffeau, L. C., & Newton, M. P. (August 2008). Identifying factors of success in CIC institutional repository development, final report. Retrieved March 01, 2016, from https://www.cic.net/docs/default-source/reports/palmeretalmellonreport.pdf?sfvrsn=0

Siciliano, L., Schmidt, S., & Kinzler, M. (2014). BoRIS and BIA: CRIS and Institutional Repository integration at the Free University of Bozen-Bolzano. Retrieved March 01, 2016, from http://dspacecris.eurocris.org/bitstream/11366/210/1/14_Siciliano_Schmidt_Kinzler_CRIS2014_Rome.pdf

Stanger, N., & McGregor, G. (2006). Hitting the ground running: building New Zealand’s first publicly available institutional repository. Information Science Discussion Papers Series No. 2006/07. University of Otago. Retrieved March 01, 2016, fromhttps://ourarchive.otago.ac.nz/bitstream/handle/10523/915/dp2006-07.pdf?sequence=3&isAllowed=y

Sterman, L. (2014). Institutional repositories: an analysis of trends and a proposed collaborative future. College & Undergraduate Libraries Vol. 21 (3-4). Retrieved March 01, 2016, from http://scholarworks.montana.edu/xmlui/bitstream/handle/1/3530/InstitutionalRepositories-AnAnalysisofTrendsandaProposedCollaborativeFuture_Sterman.pdf?sequence=1


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