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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
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A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 3
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 4
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 5
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 6
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 7
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 8
• 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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 9
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 10
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
Create Metadata Schema
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 11
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
Create Metadata Schema
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 12
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?
Define Access Protocols
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 13
yesno
Start
Finish
Need todifferentiateaccess based
on userlocation?
Need todifferentiateaccess based
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
Define Access Protocols
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 14
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
Need todifferentiateaccess based
on userlocation?
Need todifferentiateaccess based
on user profiles?
Define Maintenance
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 15
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 16
• 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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 17
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 18
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
A Librarian’s Process for Building an Institutional Repository / LIBRARY CONNECT BLUEPRINT FOR SUCCESS 20
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
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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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