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The OpenDOAR Policy Tool
Peter Millington
SHERPA Technical Development Officer
University of Nottingham, England
Outline
• Researching open access policies
– Quantitative & Qualitative results
• Policies in the OpenDOAR Directory
– Recording, standardising, displaying
• Walk-through Description of the Policy Tool
• Future Plans
• Questions & Feedback
OAI-PMH Harvesting Trials – Feb.2006
• Harvesting Repositories listed in OpenDOAR
– Only those with an OAI Base URL
– Policies harvested from 315 repositories
• Methodology
– OAI-PMH verb=Identify – data from eprints.xsd schema
• Policies for Content, Metadata, Data, and Submission
– Run using Microsoft Excel Macros
– Results analysed and charted in Excel
Metadata Policy Results – Feb.2006
[Full] Data Policy Results – Feb.2006
Findings of Feb.2006 Analysis
• No policy information for 2/3 of repositories
– Problem for service providers – can they harvest data?
• Non-commercial re-use permissions
– Near universal for those repositories with policies
• Commercial re-use permissions
– Almost none for full items
– OK for about a third of metadata permits
• Many repositories copied Cogprints’ policies
– Indicating a market for models and recommendations
– What are the ideal policies?
Policies in OpenDOAR Today
• All the OpenDOAR repositories manually checked
– Survey recently completed
– Over 800 repositories in total
– of which about 600 have harvestable OAI Base URLs
• Policies in OpenDOAR
– Visible policies examined manually
– Encoded according to standard criteria
• Policies viewable using the ‘Full records’ option
Policies in OpenDOAR
• Metadata Policy
OAI
– Access & Re-use of metadata
• Data Policy
OAI
– Access & Re-use of full items
• Content Policy
OAI
– Repository type; Type of content; Principle languages
• Submission Policy
OAI
– Eligible depositors, moderation, quality & copyright.
• Preservation Policy
– Item retention; Withdrawal; Functional preservation; Closure
So what do the statistics look like now?
Metadata Policies – OAI - Dec.2006
Metadata Policies – All - Dec.2006
[Full] Data Policies – All – Dec.2006
Other Policies – All – Dec.2006
Content
Submission
Preservation
The situation is even worse
than we thought
Analysis of Policies for OpenDOAR
• Harvested the policy texts into spreadsheet
– Split them into sentences
• Ran cluster analyses
– To help identify distinct groups of similar items
Cluster Analysis - Metadata Policies
Analysis of Policies for OpenDOAR
• Harvested the policy texts into spreadsheet
– Split them into sentences
• Ran cluster analyses
– To help identify distinct groups of similar items
• Standardised the phrases
– Using generic names and terms
• Compiled structured syntax diagrams
– To rationalise related and/or mutually exclusive options
– Identified omissions and filled the gaps
• Converted these into online data capture forms
– Exploiting check boxes, radio buttons, pick lists, etc.
– Error-checking for missing data & impossible combinations
Promoting Good Repository Practice
• Original online forms were for internal use only
– Data capture for OpenDOAR
• Realised they could also help administrators
– Help them define their own policies
• Influence repository administrators too to…
– Promote good open access policies
– Promote good management practices
– Unasked questions – e.g. what if the repository closes?
• Created the OpenDOAR Policy tool
– Tested by members of the SHERPA partnership
Minimum & Optimum Policies
• OpenDOAR Minimum Recommended Options
– Options needed to comply with the spirit of Open Access
– But retaining some restrictions
– Ignoring curatorial issues
• OpenDOAR Optimum Recommended Options
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Complying with the spirit of Open Access
Maximising exposure to potential users
Assuring the quality of deposited items
Encouraging good managerial practices
• Further options can be added manually
• Must ensure selections reflect reality
The other policy forms
Further Output Options
Configurating Policies for GNU EPrints
• Eprints OAI configuration files
– V.2 - ArchiveOAIConfig.pm
– V.3 – oai.pl
• Policy Tool output is only part of the file!
• Locate the relevant section
– Initial heading comments
– Terminal square bracket and semicolon
• Replace existing segment with Policy Tool output
• Activate the new configuration
– Ideally, restart Apache, or
– Run force_config_reload for the particular archive
Future Plans
• XML output for DSpace
• Continuing refinement
• Non-English language versions
– In partnership with franchisees
Future Plans
• XML output for DSpace
• Continuing refinement
• Non-English language versions
– In partnership with franchisees
• Submission of Policy Tool output to OpenDOAR
– Giving some control to repository administrators
– But still a moderated & quality-assured database
• Advocacy initiatives
• Any Questions?