SPARC Institutional Repository Checklist & Resource Guide The Scholarly Publishing & Academic Resources Coalition 21 Dupont Circle • Washington, DC 20036 www.arl.org/sparc Prepared by Raym Crow, SPARC Senior Consultant SPARC Institutional Repository Checklist & Resource Guide Acknowledgements SPARC and the author wish to thank the many people whose comments have shaped this document. We would especially like to thank Chris Gutteridge of the University of Southampton and EPrints; Ed Sponsler and Kim Douglas of the Caltech Libraries; and MacKenzie Smith of the MIT Libraries and DSpace. The benefit of their experience and insight has improved this Guide immeasurably. Any errors or omissions that remain, however, are the sole responsibility of SPARC and the author. This document will be revised and updated on an ongoing basis as new information warrants. To comment on this document, please contact Raym Crow at [email protected]. SPARC Institutional Repository Checklist & Resource Guide Release 1.0 November 2002 © SPARC, 2002 Permission is granted to reproduce, distribute or electronically post copies of this work for nonprofit educational purposes, provided that the author, source, and copyright notices are included on each copy. This permission is in addition to the rights of reproduction granted under Sections 107, 108, and other provisions of the U.S. Copyright Act. These items may be further forwarded and distributed so long as the statement of copyright remains intact. All trademarks and service marks mentioned herein are the property of their respective owners. Page 2 of 51 SPARC Institutional Repository Checklist & Resource Guide TABLE OF CONTENTS INTRODUCTION.................................................................................................Page 5 The Institutional Repository................................................................................... 5 Document Purpose .................................................................................................. 5 Intended Audience .................................................................................................. 6 SECURING ADMINISTRATION SUPPORT ............................................................ 6 New Scholarly Publishing Paradigm ...................................................................... 7 Institutional Visibility and Prestige........................................................................ 7 Impact of Institutional Repositories on the Existing Publishing System .............. 8 Cost Issues ............................................................................................................... 9 Intellectual Property Issues .................................................................................. 10 Resources & Further Reading: Securing Administration Support ............................. 10 SECURING FACULTY PARTICIPATION ............................................................. 11 Primary Author Benefits....................................................................................... 11 Benefits to Teaching Faculty................................................................................. 12 Resources & Further Reading: Benefits to Faculty ............................................... 12 Addressing Faculty Objections............................................................................. 12 Impediment to Publication................................................................................. 13 Resources & Further Reading: Concerns About Impeding Publication ...................... 14 Quality Control & Perception ............................................................................ 14 Resources & Further Reading: Quality Control and Perception ............................... 15 Intellectual Property Issues & Author Rights ..................................................... 15 Author Rights.................................................................................................... 16 Resources & Further Reading: Intellectual Property Issues & Author Rights............... 18 Undermining the Existing Journal Publishing System........................................ 18 Resources & Further Reading: Coexistence with Scholarly Journals ......................... 19 Faculty Workload.............................................................................................. 19 Resources & Further Reading: Faculty Workload ................................................ 20 Impact of Discipline-specific Practices ................................................................. 20 Resources & Further Reading: Discipline-specific Differences................................ 21 Other Authors and Contributors: Students and Non-faculty Researchers ....... 22 LIBRARIANS: BENEFITS AND CHALLENGES................................................... 22 Resources & Further Reading: Librarians: Benefits & Challenges............................ 23 Encouraging Repository Participation................................................................. 23 Demonstration Programs ................................................................................... 24 REPOSITORY MANAGEMENT AND POLICY ISSUES ...................................... 24 Repository Content: Published Material.............................................................. 25 Repository Content: Gray Literature................................................................... 26 Preprints................................................................................................................ 26 Curriculum Support and Teaching Materials ..................................................... 29 Electronic Theses and Dissertations ..................................................................... 29 Page 3 of 51 SPARC Institutional Repository Checklist & Resource Guide Resources & Further Reading: Institutional Repository Content Issues, Gray Literature, Benefits to Students..................................................................................... 29 Defining Repository Communities........................................................................ 30 User Groups ...................................................................................................... 30 Content Deposit Processes................................................................................. 31 Distribution Licenses............................................................................................. 32 Resources & Further Reading: Defining Repository Communities ........................... 33 TECHNICAL & SYSTEM ISSUES........................................................................... 33 Development & Operational Costs ....................................................................... 34 Ability to Migrate and Survive ............................................................................. 35 Resources & Further Reading: Technical System Issues, Institutional Repository System Overviews, EPrints Implementations................................................................ 36 Digital Content: Document Formats .................................................................... 37 Digital Content: Longevity.................................................................................... 37 Preservation Outsourcing ..................................................................................... 39 Scalability .............................................................................................................. 39 Resources & Further Reading: Digital Content: Formats & Preservation.................... 39 Persistent Naming: Digital Object Identifiers & the Handle System.................. 40 Interoperability & Open Access ........................................................................... 41 OAI-compliant Search Services............................................................................ 43 Resources & Further Reading: Interoperability & the Open Archives Initiative ................44 User Access & Rights Management...................................................................... 44 SOURCES CITED...................................................................................................... 46 APPENDIX: INSTITUTIONAL REPOSITORY IMPLEMENTATIONS.............. 48 Page 4 of 51 SPARC Institutional Repository Checklist & Resource Guide INTRODUCTION The Institutional Repository Institutional repositories—used in this Checklist & Guide to indicate digital collections capturing and preserving the intellectual output of a single university or a multiple institution community of colleges and universities—provide a compelling response to two strategic imperatives of most academic institutions. Such repositories: Provide a critical catalyst and component in reforming the system of scholarly communication by expanding access to research, reasserting control over scholarship by the academy, and bringing heightened relevance to the institutions and libraries that support them; and Have the potential to serve as tangible indicators of an institution’s quality and to demonstrate the scientific, societal, and economic relevance of its research activities, thus increasing the institution’s visibility, status, and public value. Institutional repositories contribute as a logical extension of a university’s core mission and as a channel through which to increase institutional visibility. However, they can achieve far greater results in synergy with a network