20090814 Erisprojectplanv1 0(web Version)

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/8/2009

Project Information Project Acronym

ERIS

Project Title

Enhancing Repository Infrastructure in Scotland

Start Date

1/04/2009

Lead Institution

University of Edinburgh on behalf of SCURL (Scottish Confederation of University and Research Libraries)

Project Director

Project Manager contact details

End Date

31/03/2011

[deleted from web version – contact James Toon for details] &

Name: James Toon Position: ERIS Project manager, University of Edinburgh Email: [email protected] Tel: 0131 650 3850; Fax: 0131 650 3380 Address: 5 Buccleuch Place, University of Edinburgh, Edinburgh, EH8 9LJ

Partner Institutions

Primary Partners: University of Edinburgh (lead institution); CDLR (Centre for Digital Library Research, University of Strathclyde); DCC (Digital Curation Centre); National Library of Scotland; OCLC / RLG; SAC (Scottish Agricultural College); SCURL (Scottish Confederation of University and Research Libraries); SLIC (Scottish Library and Information Council); University of Glasgow; Secondary Partners: Research pools: SAGES (Scottish Alliance for Geoscience, Environment and Society), SICSA (Scottish Informatics and Computer Science Alliance); SIRE (Scottish Institute for Research in Economics); SULSA (Scottish Universities Life Sciences Alliance) SCURL members: Heriot-Watt University; RGU (The Robert Gordon University); UWS (University of the West of Scotland); University of Aberdeen; University of Dundee; University of St Andrews; University of Stirling; The project also enjoys the full support of Universities Scotland.

Project Web URL

TBC

Programme Name (and number)

Information Environment Programme 2009-11

Programme Manager(s)

[deleted from web version – contact James Toon for details]

Document Name Document Title

Project Plan

Reporting Period

N/A

Author(s) & project role

James Toon

Date URL

Filename

20090715ERIS02projectplanv0-9.doc

if document is posted on project web site

Page 1 of 44 Document title: ERIS Project Plan

Last updated: 11/8/2009

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Access

 Project and JISC internal

 General dissemination

Document History Version

Date

Comments

0.1 Initial Draft

14/05/2009

Initial draft for comment

0.2 Draft

02/06/2009

Revisions following initial reviews

0.3

04/06/2009

Additional content relating to work packages

0.4

15/06/2009

Minor edit following PMT team review

0.5

24/06/2009

Inclusion of WP detail from DCC

0.6

10/07/2009

Inclusion of WP1 detail from UoG

0.7

13/07/2009

Inclusion of WP5 detail from UoE

0.8

14/07/2009

Inclusion of revised WP2 detail and amendments to main body text (mainly to reduce volume)

0.9

15/07/2009

Significant revisions to text in project outputs, governance, evaluation and dissemination sections

1.0

17/07/2009

First release for project team review

1.1

21/07/2009

Minor review following comments deliverable in section 4 WP2)

1.2

24/07/2009

Comments from Simon Bains

1.0 Release

11/08/2009

Release to JISC following Delivery Team approval.

1.0 (web)

14/08/2009

Release prepared for website – minus budgetary details

Second

Release

from

DCC

(missing

Page 2 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 Table of Contents

Overview of Project......................................................................................................... ...................4 1. Background................................................................................................................................ .4 2. Aims and Objectives............................................................................................... ....................5 3. Overall Approach..................................................................................................... ...................7 4. Project Outputs.............................................................................................................. .............8 5. Project Outcomes (Vision and expected benefits).............................................. ......................10 6. Stakeholder Analysis........................................................................................................... ......11 7. Risk Analysis.................................................................................................................... .........11 8. Standards.......................................................................................................... .......................12 9. Technical Development...................................................................................................... .......12 10. Intellectual Property Rights......................................................................................... ............13 Project Resources............................................................................................................... .............13 11. Project Partners................................................................................................ ......................13 12. Project Management.......................................................................................................... .....13 13. Roles and Responsibilities................................................................................................ ......14 14. Programme Support.................................................................................... ...........................15 15. Budget.............................................................................................................. ......................15 Detailed Project Planning.................................................................................................. ...............16 15. Project work packages....................................................................................................... .....16 16. Evaluation Plans ..................................................................................................... ...............16 17. Quality Plan.................................................................................................... ........................18 18. Dissemination Plan.................................................................................................. ...............18 19. Exit and Sustainability Plans............................................................................................ .......20 Appendix A. Project Budget......................................................................................................... .....22 Appendix B. Work packages.................................................................................... ........................23 Project Schedule......................................................................................................................... ..23 Detail Work package Activities............................................................................................. .........25

Page 3 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Overview of Project 1. Background The IRIScotland projects1 have produced two pilot services – the IRIScotland cross-repository (OAI PMH harvester/search) service2 to aggregate research outputs in Scottish repositories and a hosting service based at the National Library of Scotland (NLS) for institutions that do not wish to set up their own research repositories – thus successfully demonstrating the value and practicality of the distributed environment for the development of a research repository infrastructure at regional level. The projects have also produced a Repository Toolkit for Use by Researchers and Institutions3, a Draft Metadata Agreement for Institutional Repositories4 and, through the formation of the IRIScotland Council, a broad grouping of stakeholders responsible for overseeing the future development of the service. These achievements are testaments to a long-standing tradition of expertise-building collaboration between HEIs across Scotland in the field of research information, further strengthened by the work carried out – within the framework of the IRIScotland projects – with the NLS. The NLS has now agreed to develop and sustain the two central elements of the IRIScotland infrastructure5 – i.e. the above-mentioned pilot harvester/search and hosting services – on a long-term basis for the interests of Scotland as a whole. The IRIScotland projects have shown that top-down advocacy, guidelines and the development of standards, while essential, are not sufficient to engage researchers with repositories and therefore create the critical mass that repositories need – both at institutional and cross-repository levels – to achieve recognition amongst the research communities. HE institutions around the world are beginning to mandate their academics to deposit their research outputs in Open Access institutional repositories. In Scotland the movement is rapidly gathering momentum partly as a result of the Scottish Declaration on Open Access and the work of IRIScotland, but it is still the case that only a minority of Scottish HEIs has so far introduced mandatory open access policies6. Furthermore, to translate these policies into reality, Scottish HEIs need to develop researcher-friendly repositories that fit neatly in the research workflow. The success of the cross-repository service is reliant on their ability to do so. It is increasingly the view that to achieve high deposit levels in repositories there is a need to work in close collaboration with researchers and research managers in order to reach a better understanding of how repositories fit into the research workflow and how added-value functionality may contribute to generating significantly higher – or as required by mandatory institutional policies – maximum deposit rates. ‘Attending to the “Demand Side”’ – in other words ‘the development of high-value repository services… [that] requires understanding user needs and capabilities’– has recently been identified in an ARL report7 as one of the key issues facing digital repositories. Repository services must be matched to the needs of researchers to ensure they offer real incentives to deposit. For example, evidence having already shown that researchers would value a service helping them to keep their personal bibliographies up to date, this could be set up by the repositories in such a way that the updating would only occur in conjunction with the deposit of a new research output. Other addedvalue services may include tools for group work and version control at file level – particularly useful for 1

The original two-year project funded within the framework of the JISC Call for Projects in Digital Repositories (JISC Circular 03/05) was followed by a five-month extension completed in August 2008. 2 See at http://cdlr.strath.ac.uk/iriscotland/. 3 See at http://cdlr.strath.ac.uk/iriscotland/iristk/index.htm . 4 See at http://cdlr.strath.ac.uk/pubs/dawsona/IRISMetadataDraft.pdf. 5 The IRIScotland Council is currently discussing the possibility of using a different brand name for the service or even different names for each of its components. For the sake of convenience, however, the service as a whole and its underpinning infrastructure will be in this proposal referred to as IRIScotland. 6 Napier University and the Universities of Dundee, Edinburgh, Glasgow, Stirling and Strathclyde have already introduced mandatory open access policies. 7 Association of Research Libraries (ARL). The Research Library’s Role in Digital Repository Services. January 2009. p. 8. See at http://www.arl.org/bm~doc/repository-services-report.pdf. Page 4 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

research pools –, facilities for the deposit of other types of information including research datasets or for improving the visibility of research outputs amongst the business community. These are only examples – the whole issue of how repositories can help researchers with the research process needs to be thoroughly investigated in partnership with researchers with the assistance of senior library staff – usually referred to as ‘liaison’ or ‘subject librarians’ – whose responsibility it is to support research within their institutions. The work conducted by the IRIScotland projects have also helped highlight the need to bridge the gap between the repository-related technological advances achieved by dedicated repository-focused projects on the one hand and the level of technological and organisational awareness, engagement and expertise at institutional level on the other. Close collaboration with institutional repository managers is the other side of the equation in the successful delivery of researcher-friendly repository and cross-repository services – the collaboration being essential to maximise the potential of the distributive environment which is dependent on reliable patterns of interaction between institutional repository infrastructures and the central elements. Metadata for enhanced resource discovery, curation and long-term preservation are all areas of activity that have been identified as needing enhancements requiring greater levels of engagement with repository managers and their institutions. It is to the credit of the original IRIScotland project that it recognised at an early stage the importance of the SFC-funded research pools – SUPA (Scottish Universities Physics Alliance), the first research pool, formally supported the project bid, and the project greatly benefited from the SUPA representative’s active participation in the work of the project board. Research pools are now widely credited for having substantially contributed to Scotland’s RAE 2008 successes, including the increase of Scotland’s share of the UK's world-class research from 11.6% in 2001 to 12.3% (even though Scotland has only 8.5% of the UK population)8. Pooling, which is defined as the ‘…formation of strategic collaborations between universities in disciplinary or multi-disciplinary areas involving the international quality departments or individual researchers across Scotland’9, represents a novel’ – and clearly successful – cross-institutional way of doing research that needs to be reflected in and supported by the research information environment. While the IRIScotland cross-repository infrastructure is certainly a step in the right direction, much more work needs to be done – in close partnership with research pools – to investigate, develop and implement ways of providing the best repository infrastructure and functionality for research pooling and other types of collaborative work. There is a need, in particular, to develop methodologies enabling researchers to view the outputs of an entire research pool or other collaborative grouping from one point of access and to find out who is working on what so that new collaborations can flourish both within and across institutions locally, regionally, nationally or globally. Repositories for research collaborations will need to take account of the specificity of the different groupings – some research pools, for example, involve the participation of both academics directly funded by the research pool and others working in the same subject area. It is also essential to discuss the relationship between subject, institutional and research pool repositories to ensure, for example, that researchers do not have to deposit more than once and that all types of repositories can include metadata referring to the grant-related information that the Research Councils are keen to make available in this way10.

2. Aims and Objectives Overall aim The purpose of the ERIS project is to develop – in close partnership with researchers and their institutions’ repository managers – a set of user-led and user-centric solutions that will motivate researchers to deposit their work in repositories, facilitate the integration of repositories in research and institutional processes and, as a result, develop the IRIScotland pilot into a trusted cross8

See Scots universities pool research to join world leaders, The Guardian, 18/12/08, at http://www.guardian.co.uk/education/2008/dec/18/rae-scotland; see also Pooling hailed as key to Scottish improvement, Times Higher Education, 01/01/09, at http://www.timeshighereducation.co.uk/story.asp?storyCode=404806§ioncode=26 9 See http://www.sfc.ac.uk/information/information_research/strategic_research_grant.htm#pooling for list of current research pools and full definition. 10 See sections 203-204 in JISC Information Environment Grant Funding Opportunity 12/8: Call for Proposals. Page 5 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

repository resource discovery service, capable of providing access to a critical mass of Scottish research output. In order to achieve this overall aim, ERIS will pay particular attention to the requirements of research pooling – an innovative cross-institutional way of conducting research, which has been widely credited for having substantially contributed to Scotland’s RAE 2008 successes In the light of the above analysis and keeping in mind that the ultimate aim is to provide Scotland with a trusted cross-repository service providing access to a critical mass of Scottish research output, the ERIS project will aim to achieve four main goals, which seek to meet the four challenges listed in the Terms of Reference for Strand 5 in section 91 of the JISC call document, namely: • • • •

Increasing deposit rates via technical, policy or other means; Enhancing the user experience for depositors, administrators and users of materials held in repositories; Improving the capacity of repositories to contribute to the preservation of the material they hold; Improving the institutional policy framework within which repositories work, in terms of both documented policies and their implementation.

The four main objectives of the ERIS project are as follows: i.

To enhance the level of researchers’ engagement with repositories with a view to achieving a more sophisticated understanding of what repository functionality is needed. This will entail: a. Discussing with subject-specific research pools and targeted groups of individual researchers across disciplines what repositories can do that will be so helpful to them that they will want to deposit their research outputs in them ‘as a matter of course’ – functionality development needs to occur in parallel with infrastructure building to ensure researcher involvement and support; b. Feeding – on an on-going basis and throughout the duration of the project – the outcomes of these functionality-focused discussions into the technical and workflowrelated enhancement work that will be carried out by the project, always bearing in mind that the enhancements originally planned may have to be refocused to incorporate the researchers’ requirements – flexibility and a dynamic relationship between researchers and the project’s repository developers is key.

ii.

To enhance curation and preservation processes within institutions with a view to strengthening credibility about the longevity of repositories amongst researchers. This will entail: a. Working in close collaboration with repository custodians to help institutions – using, for example, the DCC Curation Lifecycle Model – with planning the various stages required for successful curation and preservation of data from initial conceptualisation or receipt (including roles and responsibilities; standards and technologies); b. Developing recommendations – in close collaboration with repository managers – for a set of machine-readable digital object preservation policies for use within a collaborative preservation service option, and investigating the advantages and feasibility of developing a long-term preservation facility for repository content in partnership with the National Library of Scotland.

iii. To provide technological enhancements that will improve researcher-centric functionality and strengthen the technical synergy between the institutional repositories and the central elements of the cross-repository service in a number of areas including: virtual repositories for research pools; resource aggregations and version control; subject access for improved resource discovery; usage statistics Page 6 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

reports for the benefit of researchers and institutions; and long-term preservation of content. This will entail: a. Working in close collaboration with the repository managers and research pool webmasters of the institutions where the researchers and research pool members involved with the project are based – using this opportunity to develop the best ways of bridging the gap, as and when necessary, between the technical expertise gained by the project and that of the institution-based technical teams; b. Acting upon the outcomes of the work conducted with researchers to increase researcher-centric functionality – see Objective i(b) – including functionality specifically required for research pooling. iv. To develop an IRIScotland policy framework for organisational and financial sustainability that may subsequently be translated to other repository federations. This will entail: a. Campaigning – in partnership with the IRIScotland Council, SCURL, SLIC, Universities Scotland and the Research Pools – for the adoption of mandatory open access policies across Scotland with a view to stimulating repository population growth and therefore increase the relevance of IRIScotland for Scottish research; b. Costing the value to the HE community of supporting IRIScotland – including the costs of implementing a shared metadata agreement, maintaining adequate staffing levels to support interoperability and adopting the DCC curation lifecycle methodology – and the potential cost of not supporting it. c. Producing a cost model and business plan to ensure on-going financial viability of the IRIScotland service including aspects of the service added as a result of the work conducted with researchers by the ERIS project – these may include, for instance, services aimed at providing researchers with usage information and higher levels of visibility with the business community;

3. Overall Approach The ERIS Project will aim over the course of 24 months to create a substantial body of research and technological outputs from across the participating institutions by building on the successes of the IRIScotland project and its associated deliverables. The key message however, is the attempt of the ERIS project to take the perspective of the user to understand the motivation to deposit and how this is affected by the growing momentum for mandatory deposit into institutional Open access repositories. This ‘bottom up’ approach is crucial in identifying and developing the workflows and systems that will be truly useful to the research community and it has been identified as a key link between the supply and demand sides of institutional open access mandates. The project is ambitious in its undertaking, and will deliver a wide ranging set of outputs across 5 interconnected work packages that can and will be used to educate, train and facilitate good practice in repository usage across three levels; 1. User (researcher) level 2. Research administrators/liaison librarians 3. Repository managers In addition to the creation of outputs that assist in repository operations themselves, it is also proposed to carry out a number of detailed investigations into areas of policy surrounding the curation and operation for long term preservation and how this could be implemented in a collaborative fashion across Scotland. Page 7 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Learning outcomes from these project activities will be shared with the community, paving the way for an enhanced interaction with national and international aggregation services such as Intute and DRIVER. The project will also seek to work with other JISC approved projects in the programme and other JISC programmes, to effectively contribute outputs and lessons learned to UK HEIs. The project will last for twenty four months from the programme start date at the beginning of April 2009.

4. Project Outputs Due to the nature of the project, work packages will be managed as a portfolio of projects, with each work package will be run as a separate activity required to deliver enabling outputs that are aligned to the overall ERIS success factors, their identified benefits and their measures. Work package managers are encouraged to us a PRINCE2 based approach across the portfolio. Project document outputs Project document deliverables will follow the guidelines as laid out by JISC and will include the following formal catalogue of outputs, all of which will be made available for public access via the project website: • • • • • • • • • • •

Project plan; progress and budget statements and reports as required; Consortium agreements Risk and issue register Formative evaluation reports The final project report Supporting website(s) and blog Project glossary and used standards Documentation of dissemination activities including: institutional / demonstration workshops, information days for wider dissemination and proposed end-of-project dissemination event; Project closure report Project completion report

Specialist outputs The deliverables that will be produced in each work package are described as ‘specialist outputs’, which include both technological and human efforts required to facilitate the formal outputs described. These specialist outputs are summarised below, with detailed descriptions of the delivery of each work package attached as Appendix B. At point of completion in March 2011, the project will be able to demonstrate the delivery of the following set of outputs. WP1 – Enhancing Researchers’ Engagement with Repositories • • • • • •

Established ERIS Researcher and Research Pool communities Project Website to be used for ERIS user engagement and collaboration Researcher engagement survey method and questions Completed focus group meetings Compiled and ordered focus group data and simple analysis Interim report of survey results Page 8 of 44

Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release • • • • •

Contact: James Toon Date:11/08/2009

Completed Researcher event (to be held at Scottish Agricultural College) Continuing community engagement plan (strategy to maintain momentum and communications post survey) A Final report on the WP1 survey activity and community engagement Summative review reports of completed WP3 deliverables against user needs. A report of follow on actions for WP1 activity, post project completion

WP2 – Enhancing Curation and Preservation Processes within Institutions • • • • • • • • • • • • • •

An agreed method and approach to surveying Scottish HEI’s curation policies Compiled and ordered survey results/data Analysis of results Report on survey of Scottish HEI curation policies Recommended approach for development of curation policy framework for Scottish Institutions The Developed Draft Policy Framework Set of policy framework user scenarios and approach to testing the success of implementation A final agreed policy framework for recommendation by the ERIS project Requirements documentation and Use cases for ERIS metadata profiles for digital objects Design of object metadata profiles to meet requirements (technical and administrative metadata) Test scripts to prove applicability of metadata to selected use case scenarios Report of recommendations for curation policy and metadata approaches for implementation. Report of recommendation for long term preservation of IR contents and data, run out of NLS A report of follow on actions for WP2 activity, post project completion

WP3 – Technological Enhancements for Improved Research-centric Functionality and Technical Synergy with the Institutions • • • • • •

User scenarios and use cases for each development module identified (virtual research pool repositories, object description via OAI_ORE, versioning, statistics, HILT integration) Use case realisations/feasibility for each module in Dspace and/or Eprints Implemented (developed and tested) enhancements for Dspace/Eprints as per requirements Validation report against DCC methodology for designing and evaluating curation and preservation experiments Validation report against user identified requirements in line with WP1 A report of follow on actions for WP3 activity, post project completion

WP4 – Developing an IRIScotland Policy Framework for Organisational and Financial Sustainability Time scale: 2 years; Leader: University of Edinburgh (in partnership with all partners) • • • • • • • • •

Common message explaining the business case for OA to Scottish Institutions Arranged set of IRIScotland council meetings to discuss OA across project duration Recurring Scottish ‘Mandate watch’ report for website in conjunction with SCURL Developed website for promotion of OA activities to HEI influencers and funders ERIS established cost model for institutional repository set up and operation Survey and results of areas of management concern/focus and costs of IR operation Report on current costs of repository operations in Scotland ERIS Proposed business plan for onward operation ERIS Proposal of governance arrangements for onward operation

WP5 – Project Management • •

Quality plan of project document outputs as defined in project plan Quality plan of project specialist products as defined by each work package Page 9 of 44

Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release • • • • • • • • • • •

Contact: James Toon Date:11/08/2009

Benefits realisation plan (to provide evidence based evaluations of project outcomes) Project progress/summary reports as required by the project board Formative evaluation reports of project throughout Summary report of project social networking goals (lessons learned) User engagement strategy and plan Project website(s) for user engagement (link to WP1/2 and 4) Communication and dissemination plan Project events Event reports Summative evaluation reports to correspond with WP3 deliverables (link to WP1) Full ERIS project Summative evaluation

5. Project Outcomes (Vision and expected benefits) ERIS will facilitate the development of a fully fledged institutional and cross-institutional repository infrastructure that will make it possible for the IRIScotland pilot to become a trusted and highly populated cross-repository resource discovery service for Scotland. It will greatly contribute to the JISC Innovation and IE Programmes11 and support the open access and self-archiving publishing models, which, according to the recently published Houghton report 12, could save millions of pounds to the UK HE sector. However, whilst the project seeks to deliver the outputs described above, one of the major differentiators of the ERIS project is that it seeks to demonstrate that it can deliver a beneficial outcome for research management on a national level, which in turn has an ultimate outcome of improved research opportunities through greater exposure of results and a demonstrated return on investment for funding bodies. To that end, the project will, as part of the business planning in WP4, define a benefits realisation plan (BRP) - define a statement of the benefits being targeted by the project, recommend key performance indicators and the steps that will be taken over time by the programme (through enabling products) to realise them. This BRP will be aligned to the previously declared success factors of the project; namely •

Short-term: (ERIS in-project success factors) (a) Improved facilities; researcher-friendly repositories supporting research pooling and other collaborative work and with added value to encourage deposit; (b) Interoperability; Improved workflows and metadata exchange for seamless embedding of the repositories in the research and institutional processes; (c) Improvements in education and training; enhanced knowledge and skills within institutions at all levels; (d) Improved community collaboration; transferable best practices and service models;

•

Long-term: (post project factors) (a) Improved rate of deposit; increased deposit rates leading to critical mass of research output available at both institutional and cross-repository levels.

11

Sections 26, 28 & 93, JISC Information Environment Grant Funding Opportunity 12/8: Call for Proposals. 12 J. Houghton et al. Economic implications of alternative scholarly publishing models: exploring the costs and benefits. Jan. 2009. http://www.jisc.ac.uk/media/documents/publications/rpteconomicoapublishing.pdf Page 10 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

(b) Development of trust; increased user confidence – amongst researchers and institutional managers – in the value and longevity of repositories; (c) Demonstrated return on investment; increased confidence in the long-term ability of repositories to enhance visibility for Scottish research and, as a result, the practical and commercial exploitation of the Scottish research base

6. Stakeholder Analysis Stakeholder All students and academic staff of Scottish Universities participating in or managing research projects Researchers (local, national and international) interested in the discovery and reuse of Scottish research outputs Research Pools Repository ‘influencers’

Research administrators Liaison/Subject librarians Repository managers Funding organisations SCURL (Scottish Confederation of University Research Libraries) SLIC (Scottish Library and Information Council)

Interest / stake Effective management of research outputs for promotion and dissemination and for funding. Interested in the discovery and usage of materials being made available through institutional repositories Interested in the development of research pool infrastructure and collaborative working Senior level management able to set or influence setting of OA mandates or requirements within their institutions Interested in services to facilitate deposit, assessment and usage Interested in the development of tools to assist in the use of institutional repositories Interested in implementing best practice in repository operation on behalf of their institutions Interested in return on investment and spread of outputs Interested in the development of a cooperative and collaborative research library infrastructure within Scotland. Interested in the development of a cooperative and collaborative library infrastructures within Scotland.

Importance High High High High

Medium Medium Medium Medium High

Medium

7. Risk Analysis The project and work packages will run a separate risk and issue register as part of its project controls. Risks will be discussed as a standing item at the project management team meetings, and also as part of the project delivery meetings. The following risks have been identified at point of initiation and are being managed accordingly. Risk Staffing

Probability (1-5) 2

Severity (1-5) 4

Score (P x S) 8

Action to Prevent/Manage Risk Team work structure across a number of institutions; Project Director and Deputy Director, WP leaders already in place; lead site with project management

Page 11 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Organisational

1

3

3

Financial

1

5

5

Technical

2

5

10

Legal

2

1

2

expertise; Collaboration agreement at start of project; project and work package management structure embedded in partner institutions; Commitment from institutions’ senior managers (see letters of support and collaboration agreement at start of project); Repository-related high expertise and appropriate technical / programming staffing levels across the partnership; use of technical standards Use of professional legal expertise as recommended by the participating institutions and JISC Legal;

8. Standards The project will adhere to JISC13and other internationally recognised standards, such as OAI-PMH and OAI-ORE, and follow appropriate metadata and metadata content standards, such as Dublin Core, METS and standard subject schemes, as and when necessary or appropriate. It will do so in light of the work being done by similar projects in the UK and globally. The project will be driven by the users needs, and we will adopt additional standards wherever possible. It is not intended to deviate from JISC recommendations. The project will produce a separate standards list and glossary as part of its project documentation.

9. Technical Development The technical team will ensure that the technical outputs from the project meet the highest possible technical standards appropriate for its use. Work package 3 (Technological Enhancements for Improved Research-centric Functionality and Technical Synergy with the Institutions ) will be responsible for the overall coordination of development activity across participating institutions, and will implement appropriate productivity and management tools for development, such as Subversion14, Basecamp15 or Fogbugz16 in order to ensure as smooth an operation as possible. Development will be delivered using an agile approach, in order to emphasis the principles of user led development, and will seek to follow the principles laid down by the agile manifesto 17 System needs will be driven ultimately by the users, and we also anticipate that we will need to explore how the institutional repository systems might need to interact with identified research ‘enabling’ systems, such as authoring tools, virtual research/learning environments, workflow tools and authority services The technical work on the project will be particularly challenging, as our objectives require us to provide enhancements on a number of alternative repository platforms, hence there will be a focus on loosely coupled developments that are as interchangeable as possible via standard protocols such as SWORD or OAI-ORE However, in parallel with this user led approach, Work package 3 has identified a number of areas based on institutional experience where the project can get a ‘head start’ on providing value added 13

See at http://standards.jisc.ac.uk/catalogue/Home.phtml. http://subversion.tigris.org/ 15 http://www.basecamphq.com/ 16 http://www.fogcreek.com/FogBUGZ/ 17 http://www.agilemanifesto.org/ 14

Page 12 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

services that have already been identified as crucial to the process of deposit. In particular this will look at the development of a virtual repository model for research pools and other types of research collaborations. Implementation of the research pool model – using existing content in institutional repositories in Scotland – will be completed for at least two of the research pools participating in the project; The project has also committed to the validation of repository enhancements, through the use of the DCC Methodology for Designing and Evaluating Curation and Preservation Experiments and the Planets test-bed

10. Intellectual Property Rights IPR for the software, technologies and metadata developed by the project will belong to the institutions where the work is carried out, and the output made available through an Open Source Licence. IPR for deliverables, such as guidelines, specimen policies and reports will be owned by the work package lead institution, which will grant a royalty-free, perpetual, non-exclusive licence to UK HE and FE institutions for internal use, and to JISC on the terms of paragraphs 119-200 of the call. IPR for the research material deposited in the repositories will be in accordance with the authors’ institutional policies.

Project Resources 11. Project Partners The project primary and secondary partners are listed in the table below. The secondary partners are the Research Pools and SCURL institutions that will work with ERIS to build and enhance their own repositories within the framework of the developing cross-repository infrastructure. The project also enjoys the full support of Universities Scotland. Primary Partners 1. University of Edinburgh (lead institution) 2. CDLR (Centre for Digital Library Research), University of Strathclyde 3. DCC (Digital Curation Centre) 4. National Library of Scotland 5. OCLC / RLG 6. SAC (Scottish Agricultural College) 7. SCURL (Scottish Confederation of University and Research Libraries) 8. SLIC (Scottish Library and Information Council) 9. University of Glasgow

Secondary Partners Research Pools18,: 1. SAGES (Scottish Alliance for Geoscience, Environment and Society) 2. SICSA (Scottish Informatics and Computer Science Alliance) 3. SIRE (Scottish Institute for Research in Economics) 4. SULSA (Scottish Universities Life Sciences Alliance) SCURL Institutions: 1. Heriot-Watt University 2. RGU (The Robert Gordon University) 3. UWS (University of the West of Scotland) 4. University of Aberdeen 5. University of Dundee 6. University of St Andrews 7. University of Stirling

12. Project Management The project will be managed according to JISC guidelines19, and based on a PRINCE2 approach. Project governance will be as follows; 18

See SAGES at http://www.sages.ac.uk/; SICSA at http://www.sicsa.ac.uk/; SIRE http://www.sire.ac.uk/; SULSA at http://www.sulsa.ac.uk/ and SUPA at http://www.supa.ac.uk/. 19 http://www.jisc.ac.uk/proj_manguide

at

Page 13 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Project Board

Project Management Team

Project Delivery team

Work Package 1

Work Package 2

Work Package 3

Work Package 4

Work Package 5

13. Roles and Responsibilities The following section describes the key roles and their responsibilities on the project; Responsibilities of the Project Board The Project Board will retain responsibility for setting overall expectations for the project, against the originally planned objectives and outcomes. The project plan, core management products and technical content of the project will need to be agreed by the board. The project board will meet in person at least twice yearly and will be chaired by the Project Director. The project board may elect to form advisory sub groups as required. Any such additional subgroup meetings may be called by members as required or on the advice of the Project Director in order to provide specialist guidance to the project. The board may also choose to take advice from independent third parties (project advisors) as is required. Any meetings should operate under the rules specified in the Project Plan. Responsibilities of the Project Management Team The responsibilities of the Project Director and Deputy Director are to direct the project and with the project manager, ensure that work proceeds smoothly and effectively overall to achieve the objectives and deliverables defined in the Project Plan. The project management team will meet on a fortnightly basis as the ‘project management team’ Project management The project manager will be responsible for overall coordination with project partners and all other identified stakeholders, and is responsible for project administration and reporting, including reports to JISC. The role will be staffed on a full time basis 1.0FTE Responsibilities of the Project delivery team (Workpackage leaders) The project delivery team are responsible for the detailed planning, specification, management and delivery of objectives and products (outputs) as required for the individual work packages, and to the level of quality expected by the project board. Page 14 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

The project delivery team will meet once every two months in order to discuss overall project progress and to report on the delivery of work packages against expectations. Individual workpackage leaders will work closely with the project manager to ensure that any delays in delivery or issues/risks affecting their work packages are managed accordingly. Workpackage leaders will be expected to contribute highlight reports to the project manager for distribution on a monthly basis. Contract of Expectations The project expects that all project members use all reasonable endeavours to undertake that they will: •

Perform on time tasks and work packages assigned to it under the consortia agreement

•

Participate actively and respectfully with other Parties in the project;

•

Promptly notify the Project Manager of any delays in delivery or concerns over performance;

•

Prepare for and organise institutional visits in good time;

•

Prepare and present reports as required.

Project delivery team The delivery team for the ERIS project will include the following key personnel; [deleted from web version – contact James Toon for details] Project Board Members The project board is made up from the members indicated above, plus; [deleted from web version – contact James Toon for details] Additional Representatives to be appointed; •

Partner representative for research institutions outside universities;

•

Representative of the research community to be nominated by the research pools;

•

Representative of a Scottish University Research Vice-Principal office to be nominated by Universities Scotland

14. Programme Support There are no specific areas identified at this stage that have been identified as requiring additional programme support.

15. Budget The budget is as agreed in the project proposal and included in Appendix A

Page 15 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/8/2009

Detailed Project Planning 15. Project work packages Detailed descriptions of activity and deliverables for each work package can be found in Appendix B

16. Evaluation Plans The project is seeking to engage with the user community in order to develop repository services to best meet their needs. During the project delivery stages the team will need to periodically review the success of the project deliverables and re-work, or re-plan schedules accordingly. In order to ensure that these reviews are communicated widely, the project will create a formative evaluation report to coincide with each project board meeting. This report will be reviewed as a standing item by the board and any actions undertaken as appropriate. Within this report, clear deviations from the project plan will be managed using standard project controls, such as risk and issue management and change control management, however there will be a number of critical dependencies that will be subject to constant evaluation. In particular the project will consider the following User involvement – is the project engaging with users appropriate to the project mission Project management – is the project being managed appropriately, is communication appropriate and schedule/budget on track Evidence based evaluations – can/will the project produce evidence of its successes? Relevancy – is the project direction still true to the original project mission? Have there been any significant deviations, or omissions against the initial plan. Evaluation of Success factors The project has identified, in section 5 of the plan, a number of success factors that will be monitored to provide demonstrable proof of the success of the project. These project outcomes are identified as either short and long term as described below. It is assumed that it will only be possible to practically manage the evaluation of short term factors within the project time constraints. The following table describes a number of measures relating to the project, and which need to be managed across the whole life of the ERIS project. Short term measures Timing

Outcomes to Evaluate Delivery of enabling systems for repository users

Questions to Address

Method(s)

Have improved facilities been produced by the project which focus on user needs;

Inventory of repository tool usage across project partners System testing User satisfaction that tools represent fit

Measure of Success Increased take up of repository services offered

Tools signed off by users as fit for use Positive result from WP1 Summative

Page 16 of 44 Document title: ERIS Project Plan

Last updated: 11/8/2009

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 for purpose Demonstration of interoperability

evaluations Common use of metadata and policy frameworks advocated by ERIS via WP2 demonstrated by the project

Has the project been successful in building an enhanced knowledge and appreciation of value, curation and preservation for repositories within institutions at all levels;

Community survey to review impact

Increased awareness of curation and preservation issues

Have cross institutional boundaries been reduced and is there evidence of a transfer of best practices and service models;

High level review of participant activity across Scotland

Evidence of cross repository usage and community collaboration

Measure volume of content contained within the cross repository

Demonstrable percentage gain over life of project

Identify number of linked repositories within the ERIS network

Demonstrable interchange of data (not just metadata) into central repository from at least two partners.

Interoperability of repository content within Scotland;

Has the project been successful in introducing common standards and protocols for a cross-Scotland repository environment

Improvements in education and training at the user level;

Improved repository community collaboration;

Long term measures The following table describes the project long term success factors, which, whilst they cannot be fully measured during the duration of the work, can be defined so that they can be considered a baseline measure, and may be subject to ongoing benefits realisation work. Timing

Outcomes to Evaluate Improved rate of deposit;;

Development of trust;

Questions to Address

Method(s)

Measure of Success

increased deposit rates leading to critical mass of research output available at both institutional and crossrepository levels and, if necessary, via VREs

Measure of volume of content deposited in ERIS linked repositories

Percentage increase in deposit from multiple channels

increased confidence – amongst researchers and institutional managers – in the longevity of repositories;

Community survey

Clear increase in levels of confidence

Page 17 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Demonstrated return on investment;

Contact: James Toon Date:11/08/2009

increased confidence in the long-term ability of repositories to enhance visibility for Scottish research and, as a result, the practical and commercial exploitation of the Scottish research base

Measures of investment (funding and resources)

Increased funding linked to visibility through repository aggregations

Measure of citation counts across ERIS networks

Percentage increase in number of citation counts for participating institutions

Evidence of commercial involvement

Partnership or other funding relationship as a result of ERIS network

17. Quality Plan The projects outputs, or products, (described in section 4) will be quality managed through use of good practice (PRINCE2 based) management techniques, and in particular, by using product descriptions to define the delivery elements of each work package. These product descriptions are defined as a statement of a product intended to be produced, developed or obtained – produced before delivery – to ensure that those involved in their production know: • • • •

Why the product is needed What it will look like How and from what sources it will be derived The Quality specification to which the must comply.

The project delivery team will ensure that descriptions are realistic and achievable, and above all to ensure that the outputs have objective measures. All products will be signed off by the project delivery team as required.

18. Dissemination Plan The project will share its experiences, evaluations, recommendations and results within the repository community in Scotland as part of our mission to encourage the adoption of a common, collaborative approach to the management of research outputs The team will seek to ensure that dissemination is on-going throughout the course of the project and through these approaches, aims to foster a broad community of stakeholders who share the projects vision and objectives for success. Formal Dissemination The project will produce a number of formal project communications, scheduled across the project such as progress reports, mid year reviews and project specific seminars and workshops in conjunction with the IRIScotland repository managers network. The following table describes dissemination activities that have been identified at the point of initial planning. It is expected that this dissemination plan will develop throughout the project. Table 18.1 Formal (planned) Dissemination activities Page 18 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release Timing

Contact: James Toon Date:11/08/2009

Dissemination Activity Participation in prearranged SCURL meetings Participation in repository events

Audience

Purpose

Key Message

Library directors

Ongoing

Participation in researcher events

Community/Other projects

Encourage institutional participation in ERIS project Participation in the Repository community (i.e. JISC Inf11, UKCoRR, RSP, other events) Participation in the researcher/pool community via invitation

Ongoing

ERIS Websites (project and network specific)

Everyone

Researcher event (March 2010)

Hold researcher event to discuss outputs from WP1 and WP2 surveys

Research community

End of Project (March 2011)

ERIS Seminar/Conference

All stakeholders and Scottish research community

To update and inform community of influencers To share experiences of ERIS Project with repository community To share experiences of ERIS Project with researcher/research pool community Keeping stakeholders and community informed and allowing for an informal two way communication To communicate outcomes of surveys held in WP1 and 2 on user needs and researcher curation needs. To create a broad stakeholder community forum and to report on project outcomes and to propose future activity

Ongoing Ongoing (and wide ranging)

Community/Other projects

Mode of communication for project developments, news and events and access to project documentation/outputs To communicate findings and to encourage onward participation

To encourage participation across all stakeholders and to maintain momentum at point of project closure.

The project will produce a number of reports summarising progress across the life of the project. These will be published on project websites and blogs as required. Timing 4 reports across project life to correspond with project board meetings 3 reports on total (September 2009, March 2010, September 2010 Monthly consolidated

Dissemination Activity Production of formative evaluation reports

Audience

Purpose

Key Message

Project group

Report on alignment of project to original mission

Demonstrate progress against scope

Mid year Evaluation reports (work packages and project)

Project group

Report of progress of project to date

To report on progress

Project Highlight reports

Project group

Monthly update of project progress

To report on progress

Page 19 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release report based on checkpoint reports Monthly checkpoint reporting March 2011

Contact: James Toon Date:11/08/2009

Work package reports

Project group

Final project reporting (work packages and project)

Project group

Regular progress reporting from work package managers Final report on project for project client

To report on progress To provide a summative evaluation of the project against original aims/objectives

Informal Dissemination This will take place through the use of a variety of mechanisms, including a blog based project website, and participation in various social networking opportunities such as Twitter and Facebook, and through more traditional participation in local, national and international seminars and conferences. More detail on the social engagement will be developed as part of the ERIS Proejct communication plans. The project will report on its experiences in the social networking community as a report in workpackage 5 – Project management.

19. Exit and Sustainability Plans Project products and records The project will produce a number of products across the work plans which will be useful to a number of institutional projects, not only for the ongoing work on Scottish Institutional repositories, but also on a UK wide basis. To ensure that these products are of value outside of the project, the following actions will be undertaken; Outputs Project documentation and reports

Action for Take-up & Embedding Freely available for public use; ongoing attendance and involvement in related seminars/conferences and workshops associated with repository networks

Technological developments

Project products made available via open source license according to section 10 of the project plan

Data gathered during project

Data gathered during the course of the project research made available as supporting data for reports and recommendations

Recommendations, advice and guidance

Freely available for public use; ongoing attendance and involvement in related seminars/conferences and workshops associated with repository networks

Action for Exit Ensure that products are transferred to a secure repository for long term access; maintain ERIS project website for minimum 3 years post project Deposit of technological products into managed code repository to allow for redistribution, reuse and redevelopment Ensure that data is included in the long term preservation repository, curated appropriately and associated with the products that they derive. Ensure that products are transferred to a secure repository for long term access; maintain ERIS project website for minimum 3 years post project

Long term sustainability is a key aim of the ERIS project. Page 20 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Work package 4 specifically addresses the issues associated with long term sustainability of IRIScotland services. In particular, to provide the necessary advice and guidance for the IRIScotland council, the project will develop an understanding of the costs and benefits associated with managing the lifecycle requirements of repositories and their content, including the costs of implementing a shared metadata agreement, maintaining adequate staffing levels to support interoperability, adopting the DCC curation lifecycle methodology – and indeed the potential impact cost of not supporting such an infrastructure The following core products are to be developed during work package 4 -Developing an IRIScotland Policy Framework for Organisational and Financial Sustainability; Project Outputs

Why Sustainable

Scenarios for Taking Forward Develop into a self certification approach to help institutions develop a business case.

Issues to Address

Cost / benefit analysis report based on consultation with the Scottish HEI community

Instructional guidance for institutions looking into the set up, and operation of institutional repositories

A cost model and business plan to ensure on-going financial viability of IRIScotland including services arising from the consultation with researchers during the course of the project

The business case for continuing to operate a cooperative service across Scotland

Proposals for further funding, implementing as a business plan for an ongoing repository infrastructure across Scotland

Sources of potential funding, contractual issues between partners, issues of company vs collaboration, continued demand/value for such a service

Governance model which will define the structure for embedding IRIScotland in the Scottish research environment;

The structure of a formal cross Scotland research environment – ensuring appropriate stakeholder involvement and work planning over the medium/long term

Launch of ERIS/IRIScotland as formal service to Scottish institutions in collaboration with existing consortia such as SCURL

Negotiation of cross institutional agreements on operation/funding and work plans post project

Training and support, continued refinement of analysis based on current trends

Page 21 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/8/2009

Appendix A. Project Budget [removed from online version]

Page 22 of 44 Document title: ERIS Project Plan

Last updated: 11/8/2009

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/8/2009

Appendix B. Work packages Project Schedule May 09

June 09

July 09

Aug 09

Sept 09

Oct 09

Nov 09

Dec 09

Jan 10

Feb 10

Mar 10

Apr 10

May 10

Jun 10

July 10

Aug 10

Sept 10

Oct 10

Nov 10

Dec 10

Jan 11

Feb 11

WP1 1: Network development and planning 2: User engagement 3: Review, reporting and recommendations 4: Development of user recommendations 5: Implementation and review WP2 1: Institutional survey 2: Curation policy framework 3: Digital Preservation policy 4: Feasibility of Long term Repository WP3

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

Month

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

Month

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

Page 23 of 44 Document title: ERIS Project Plan

Last updated: 11/8/2009

Mar 11

Apr 09 Month

Activity

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

1: Virtual Repositories for Research Pools 2: Resource aggregations 3: Versioning 4: Access enhancements 5: Statistical reporting 6: Interchange via ORE for preservation WP4 i. OA Mandate advocacy ii. 1: Cost / benefit analysis report; iii. 2: Business plan

Month

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

Month

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

iv. 3: Governance model WP5 1. Communication and dissemination strategy 2. Management of online presence 3. Project Management 4. Project Reporting to JISC / SCURL 5. Summative evaluation Project start date: 1st April 2009 Project completion date: 31st March 2011 Duration: 24 months Page 24 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Detail Work package Activities Work package and activity

Earliest Start July 2009

WP1 – Enhancing Researchers’ Engagement with Repositories

Latest Completion March 2011

Responsibility Leader: University of Glasgow (with OCLCRLG, NLS, SAC and SCURL)

Overall Objective: To enhance the level of researchers’ engagement with repositories with a view to; (a) Achieving a more sophisticated understanding of how repositories fit into their workflows and what repository functionality and added-value services need to be developed; and (b) Feeding this information on an on-going basis into the work that will be carried out by the project’s other strands.

Planned Activities Activity Developing networks involving subject-specific research pools including those partnering with ERIS;

Start July 2009

Finish March 2010

Delivery approach Determine finally the research pools to be included; make contact with those research pools; tap into their pre-existing networks, where possible.

To do Lists (for Basecamp) Agree terms of reference for participation of researchers and how they will be informed of conclusions Agree minimum useful number of participants to evaluate outputs successfully Contact and confirm involvement of RP’s on Project by Letter/Phone, based on ERIS Partners+SINAPSE Page 25 of 44

Document title: JISC Project Plan

22683742.doc

Deliverables ERIS Research Pool community Set of completed focus group meetings for RP’s

Milestone Contact with all relevant research pools and schedule s for focus groups in place by Nov 2009

Who University of Glasgow/OC LCRLG/SCURL

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 Arrange dates/themes of focus group meetings

Developing – in partnership with liaison/subject librarians – networks of individual researchers across institutions – including research institutions outside universities – focusing on disciplines not included in the research pools participating in the project;

Developing in partnership with OCLC-RLG a programme of discussions with these networks and a methodology to ensure that the outcomes of these discussions inform the work of the project as a whole.

July 2009

July 2009

March 2010

March 2010

Using SCURL links ask subject librarians in all partner institutions to identify researchers willing to be contacted about repository issues (May only be necessary for SLs to identify one or two researchers each). Develop questions to ask these researchers. Ask them to sign up to a blog(?) to maintain ongoing contact. Run a series of focus groups, both based in individual institutions and, if possible, aimed at researchers working in research pools. Draw up a series of questions for the focus groups and produce a

Agree terms of reference for participation of researchers and how they will be informed of conclusions Agree minimum useful number of participants to evaluate outputs successfully

Set of completed focus group meetings for researchers

Contact with all relevant research pools and schedule s for focus groups in place by Nov 2009

SCURL/ OCLCRLG/GU

Question s for focus groups in place by Nov 09

OCLCRLG/GU

Contact SCURL members via Jill Evans Arrange dates/themes of focus group meetings

Develop questions and themes for focus groups

Page 26 of 44 Document title: JISC Project Plan

ERIS Researcher community

22683742.doc

Survey/Focus group method and questions

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Run focus group sessions – one with each network – to find out what researchers and research pools think repositories should do for them;

Sept 09

March 2010

Analysis and production of a report on the outcomes of these focus groups, including an updated version of the Research Services Offer list20 (produced by OCLC Research within its Research Information Management programme) to reflect the views of the researchers and the specificity of the research

Sept 09

March 2010

Set up researcher specific communication channel (website/blog/newsletter etc)

July 09

20

report based on the outcomes of the focus groups As above

As above

Prepare for and run series of focus groups with identified communities

Completed focus group meetings

Focus Groups complete d by end Feb 2010

OCLCRLG/GU

Write up results of focus groups, publish data and analyse outcomes

Focus group data and analysis

Interim report on group outcomes in time for SAC event March 2010

OCLCRLG/GU

Site in place end Sept 09

ERIS project manager

Interim WP1 report Produce interim report from focus groups for presentation to SAC event

Sept 2009

Discuss and agree on best strategy for communicating and discussing ideas borne from the user group sessions and from collation of other resources from other JISC

Agreed user engagement plan Define and set up site in time for initial researcher groups

See text of list in Appendix C. Page 27 of 44

Document title: JISC Project Plan

22683742.doc

Project Website for user engagement

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Hold a specific event in SAC

Sept 09

March 2010

Setting up project blogs aimed at enabling an ongoing dialogue with researchers (including an entry in the RLG Partnership blog http://hangingtogether.org .)

Dec 2009

June 2010

Discussing the abovementioned report and summaries of blog contributions with the other WPs, the Project Board and the IRIScotland Council with a view to deciding which research-led enhancements can and will be implemented during the life of the ERIS project;

April 2010

June 2010

Evaluation of focus group outcomes against project

project outputs Discuss and agree on event structure

Tasks for arranging researcher event

Researcher event

Agree a long term user engagement plan to maintain conversation with researchers past the end of the planned focus groups

Strategy to Maintain user engagement post June 2010

Post event/focus group engagement plan

At relevant meetings

Arrange project board meeting to discuss outputs from WP1 as specific agenda

Final WP1 report

Produce final report from focus groups and revision following on from SAC event

March 2010

March 2011

Carry formative evaluations ERIS

out of

Continual review of developments against identified user needs

22683742.doc

ERIS project manager

Produce final report by June 2010

OCLCRLG/GU and All WP leaders

OCLCRLG/ERIS project manager

Discussio n project board meeting end June 2010

Produce and agree proposed follow on actions from WP1 activities

Page 28 of 44 Document title: JISC Project Plan

Post WP1 action plan

SAC research er event – March 2010 In place end June 2010

Summative review of WP3 deliverables

Agreed follow on action plan end June 2010 Summati ve review across 2010/11

OCLCRLG/GU

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 development work against user based outcomes

and complete by end march 2011

WP1 Outcomes: i.

Improved facilities; researcher-friendly repositories supporting research pooling and other collaborative work and with added value to encourage deposit;

ii.

Improvements in education and training; enhanced knowledge and skills within institutions at all levels

iii. Improved community collaboration; transferable best practices and service models; iv. Development of trust; increased user confidence – amongst researchers and institutional managers – in the value and longevity of repositories;

Work package and activity

Earliest Start July 2009

WP2 – Enhancing Curation and Preservation Processes within Institutions

Latest Completion March 2011

Responsibility DCC (in partnership with CDLR, Edinburgh and NLS)

Overall Objective: To enhance curation and preservation processes within institutions in order to build confidence amongst researchers in the longevity of repositories.

Planned Activities Activity Conducting a survey of Scottish HEIs, building on prior DCC investigations of institutional curation and preservation policies;

Start

Finish

Delivery approach

July 2009

March 2010

Planning – aims, scope, establish contacts, set up and test questionnaire

To do Lists (for Basecamp) set up and questionnaire

test

Evaluate, Clean and carry out analysis of results Page 29 of 44

Document title: JISC Project Plan

22683742.doc

Deliverables

Milestone

Who

Agreed Survey Method, Completed and tested Questionnaire

Survey of HEI’s complete in by end Dec 2009

DCC

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 Conduct evaluate survey

and

Survey data Create report Analysis of results

Analysis of results and draft report Building upon current DCC tools21 (including DRAMBORA, DAF and the DCC Data Plan templates) to produce a framework enabling institutions to develop curation policy and data plans within the context of the DCC Lifecycle Model22, planned DCC work on creating data management templates (including an online tool for creating these) and the DCC Charter and Statement of Principles23;

Sept 2009

Working with repository managers to create a framework for the definition of machine-readable digital object preservation policies that can be used within the collaborative preservation service option to be developed under WP3

Dec 2009

April 2010

review and select DCC and associated tools build framework test tools with institutions

Survey report review and select DCC and associated tools

Recommended approach

manage programme to test tools with institutions

Draft Framework

report on viability of framework following test results

Use cases, research data

report and adjust/confirm framework

July 2010

Policy

Survey report completed and signed off by end Jan 2010 Tool selection and framework approach agreed by end feb 2010

Agreed policy framework

Report on framework viability by end april 2010

analysis of IRIS metadata architecture and requirements

analysis of existing IRIS metadata architecture and requirements

Requirements documentation and Use cases

liaison with WP3 programme to agree and develop requirements

Define project needs and produce and test agreed set of object models

Use case realisations (high level system designs)

High level design Specificati on for object policies in place by Apr 2010

Test scripts, Test

Completed

produce and test set 21

DCC

DCC, CDLR, NLS

DRAMBORA (Digital Repository Audit Method Based on Risk Assessment): (http://www.repositoryaudit.eu/; and DAF (Audit Framework): http://www.dataaudit.eu/; 22 See at www.dcc.ac.uk/docs/publications/DCCLifecycle.pdf. 23 See at http://www.dcc.ac.uk/charter/. Page 30 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 of object models

Investigating the advantages and feasibility of developing a long-term preservation facility for institutional repositories based at the National Library of Scotland;

April 10

Oct 2010

results

using results of survey identify further data requirements

identify further data requirements and plan for acquisition

assess NLS facilities and forward strategy

assess NLS facilities and forward strategy

assess institutional and funding council strategies that impact data preservation

assess institutional and funding council strategies that impact data preservation

drawing on results of analyses and broader DCC investigations of HE data requirements, produce report that identifies best options

drawing on results of analyses and broader DCC investigations of HE data requirements, produce report that identifies best options

Report of recommendation for long term preservation of IR contents and data

set of object policies by end July 2010 Production of recommen dations report by end Oct 2010

DCC

WP2 Outcomes: v.

Interoperability; Improved workflows and metadata exchange for seamless embedding of the repositories in the research and institutional processes;

vi. Improvements in education and training; enhanced knowledge and skills within institutions at all levels vii. Improved community collaboration; transferable best practices and service models; viii. Development of trust; increased user confidence – amongst researchers and institutional managers – in the value and longevity of repositories;

Page 31 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Work package and activity WP3 – Technological Enhancements for Improved Research-centric Functionality and Technical Synergy with the Institutions

Earliest Start July 2009

Latest Completion March 2011

Responsibility Leader: National Library of Scotland (with CDLR, Edinburgh and DCC)

Overall Objective: Objectives: To provide technological enhancements that will improve researcher-centric functionality, as informed by WP1 and earlier IRIScotland work, while also bridging the gap between project-based and institution-based repository-management expertise; these enhancements will be made with all Scottish sites in mind, whether they use DSpace, EPrints or Fedora, and will focus on five main areas of development:

Planned Activities Activity (project)

Start

Virtual repositories for research pools (a) – this will involve modifying institutional repositories platforms to allow the addition of fields to incorporate metadata relating to the research pools; this metadata, when harvested by the central aggregation tool, will permit

July 2009

Finish Dec 2010

Delivery approach Initial Scoping exercise – develop use case scenarios and high level use cases up to end Sept 2009 Detailed scoping and feasibility prototyping up to end Mar 2010

To do Lists (for Basecamp) Initial scoping exercise Detailed design work/prototyping Development of module Implementation and review of developed module

Deliverables User scenarios and use cases for each development module Use case realisations/feasibility for Dspace/Eprints Enhancements for Dspace/Eprints to allow for recording of research pool details Validation report against DCC methodology for designing and evaluating curation and preservation experiments

Validation of needs against outcomes from WP1 Development and Page 32 of 44 Document title: JISC Project Plan

22683742.doc

Milestone Agreed scope of development work and user scenarios in place by Sept 2009 Confirmed feasibility of approaches by Mar 2010 Demonstrable software end Sept 2010

Who University of Edinburgh, CDLR

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 implementation of selected features in repositories for enhancement by end Sept 2010 Evaluation in line with DCC testing approach Sept 10-end Dec 2010

Virtual repositories for research pools (b) the building of research poolspecific ‘virtual repositories’ that can be linked with institutional and individual web pages dynamically as new content is added to institutional repositories and made available to the aggregator; Virtual repositories for research pools (c) additional mechanisms will also be developed to ensure de-duplication of research outputs

July 2009

March 2011

July 2009

March 2011

As above

As above

As above

As above

NLS

As above

As above

As above

As above

NLS

Page 33 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

deposited in multiple repositories; Resource aggregations interoperability. This will involve providing institutional repositories with the necessary functionality, using OAI-ORE, to structure and transport complex aggregations of resources and describe them with the relevant metadata (e.g. information about author, funding body or research pool); Version Control. -establishing on the basis of the Toolkit produced by the Versions project24 develop what is needed to provide version information at institutional repository level to deliver access to the correct version, as requested by the user, via both the institutional 24

July 2009

March 2011

July 2009

March 2011

As above

As above

As above

As above

As above

As above

As above

As above

See at http://www.lse.ac.uk/library/versions/. Page 34 of 44

Document title: JISC Project Plan

22683742.doc

University of Edinburgh, CDLR and NLS

University of Edinburgh, CDLR and NLS

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

repository and the central aggregation service; Subject access enhancements – to improve resource discovery and increase the ability of institutions to showcase their subject strengths; this will involve machineto-machine interaction with the HILT25 web services and the integration into DSpace, EPrints and Fedora of HILTdriven drop-down menus to assist in the subject cataloguing of resources, intersubject scheme interoperability and enhanced subject retrieval through term expansion; Statistics reports– this will involve implementing usage statistics and live feeds (through RSS/Atom or email) into the repository platforms, as 25

July 2009

March 2011

Sept 09

March 2011

As above

As above

As above

As above

As above

As above

As above

As above

HILT: High-Level Thesaurus Project; see at http://hilt.cdlr.strath.ac.uk/. Page 35 of 44

Document title: JISC Project Plan

22683742.doc

CDLR, University of Edinburgh

University of Edinburgh, CDLR and NLS

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

informed by WP1; it is anticipated that such statistics might include reports at item, institutional and cross-repository levels for the attention of individual researchers, research pools and institutions; Supporting preservation of repository content – to provide a preservation service option for institutions using the OAI-ORE method as a tool for the description and transportation of aggregated content from institutional repositories to a central location, and using preservation policies for ingest into a long-term storage repository via the recommended framework defined in WP2;

April 2010

Oct 2010

As a result of the DCC feasibility survey – but only at a conceptual level

As above

As above

As above

DCC/NLS

Supported Outcomes: ix. Improved facilities; researcher-friendly repositories supporting research pooling and other collaborative work and with added value to encourage Page 36 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

deposit; x.

Interoperability; Improved workflows and metadata exchange for seamless embedding of the repositories in the research and institutional processes;

xi. Improved rate of deposit; increased deposit rates leading to critical mass of research output available at both institutional and cross-repository levels. Work package and activity WP4 – Developing an IRIScotland Policy Framework for Organisational and Financial Sustainability

Earliest Start July 2009

Latest Completion March 2011

Responsibility Leader: University Edinburgh

of

Overall Objective: Objectives: To develop – in partnership with the IRIScotland Council – an IRIScotland policy framework for organisational and financial sustainability.

Planned Activities Activity Working with the IRIScotland Council, SCURL, SLIC, Universities Scotland and the Research Pools to increase the number of Scottish HEIs intent on introducing mandatory open access policies;

Start

Finish

July 2009

March 2011

Delivery approach Determine what evidence is needed to prove that Scotland can now prove the absolute case for Open Access in HEI’s Set up and hold a series of council events over the two year project duration to promote the adoption of

To do Lists (for Basecamp) • Agree common ‘business case’ for open access mandate to be distributed •

•

Arrange and promote council events in line with ERIS Project (and with SCURL?) Develop statistics of Scottish institutions with

Page 37 of 44 Document title: JISC Project Plan

22683742.doc

Deliverables •

Common message to Scottish Institutions

•

Set of IRIScotland council meetings to discuss OA across project duration

•

Recurring

Milestone

Who

Contact with all relevant research pools and schedules for focus groups in place by Nov 2009

ERIS PM, ERIS Project team

Website in place by end Sept 2009

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 mandatory policies. Re-work the OATS website in line with the IRIScotland council, or incorporate into development of Main ERIS Project site.

Costing the value to Scottish researchers, Scottish HEIs and Scotland as a whole of a Scottish cross-repository infrastructure – including the costs of implementing a shared metadata agreement, maintaining adequate staffing levels to support interoperability, adopting the DCC curation lifecycle methodology – and the potential cost of not supporting such an infrastructure;

Dec 2009

Dec 2010

Develop framework of considerations in relation to adoption of shared infrastructure Produce survey for participating institutions to validate and prioritise focus areas

Open access requirements and/or mandates •

Incorporate OATS/IRIScouncil work into ERIS Site

•

Develop costing framework

•

Survey of Scottish HEI’s

•

Review potential existing cost models for task (i.e LIFE/ESPIDA)

Develop or acquire methodology required Gather cost values in relation to focus areas

•

•

Website for promotion of OA activities to HEI influencers and funders ERIS Cost model for repository operation

•

Survey results

•

Report on cost of repository operations in Scotland

Develop approach to costing of IR’s in Scottish HEI’s by end March 2010 Surveys and analysis in place by end Sept 2010 Report on cost of OA infrastructu re by end Dec 2010

Analyse outcomes of survey and framework

Page 38 of 44 Document title: JISC Project Plan

Scottish ‘Mandate watch’ report for website

22683742.doc

ERIS PM, ERIS Project team

Project Acronym: ERIS Version:1.0 Release Producing a cost model and business plan to ensure on-going financial viability of IRIScotland including services arising from the consultation with researchers during the course of the project;

Producing – in partnership with the IRIScotland Council – a governance structure embedding IRIScotland in the Scottish research environment;

Contact: James Toon Date:11/08/2009 Sept 2010

Sept 2010

March 2011

March 2011

Develop business plan for ongoing IRIScotland/ERIS service

Develop Governance plan for ongoing IRIScotland/ERIS service

•

Develop plan of consultation with project and IRIScotland council based on ERIS findings

•

Produce business plan for review and approval

•

Develop plan of consultation with project and IRIScotland council based on ERIS findings

•

Produce governance plan for review and approval

•

•

WP4 Outcomes: xii. Improvements in education and training; enhanced knowledge and skills within institutions at all levels xiii. Improved community collaboration; transferable best practices and service models; Page 39 of 44 Document title: JISC Project Plan

22683742.doc

ERIS Ongoing business plan

ERIS Proposal of ongoing governance arrangement s

Draft plan for discussion and approval in place by end Feb 2011 Agreement to proceed or wind up by end March 2011 Draft plan for discussion and approval in place by end Feb 2011 Agreement to proceed or wind up by end March 2011

ERIS PM, ERIS Project team, IRIScotland council

ERIS PM, ERIS Project team, IRIScotland council

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

xiv. Improved rate of deposit; increased deposit rates leading to critical mass of research output available at both institutional and cross-repository levels xv. Development of trust; increased user confidence – amongst researchers and institutional managers – in the value and longevity of repositories; xvi. Demonstrated return on investment; increased confidence in the long-term ability of repositories to enhance visibility for Scottish research and, as a result, the practical and commercial exploitation of the Scottish research base Work package and activity

Earliest Start June 2009

WP5 – Project Management

Latest Completion March 2011

Responsibility Leader: University Edinburgh

of

Overall Objective: To cross-manage all the Work packages to ensure the cohesion of the project as a whole in partnership with a Delivery Team comprising the WP Leaders

Planned Activities Activity To follow the PRINCE2 or similar project management methodology, which will entail, in particular: producing a work plan based on the proposal, including an evaluation mechanism for each WP; organising and serving the project meetings (agenda, papers, minutes etc.); managing the project budget; producing progress reports and the final report;

Start

Finish

April 2009

March 2011

Delivery approach Follow JISC Project management guidelines for production and management of project documentation Use PRINCE2 based approach to managing product delivery and other project control mechanisms

To do Lists (for Basecamp) Sign off of project plan (project start up) Lists throughout project as defined by other workpackages Preparation and management of meetings and minutes as required Project Evaluations – quality plan Project Evaluations – Benefits realisation

Facilitate use of collaborative

Project document outputs as defined in project plan (section 4) Project specialist products as defined by each work package Benefits realisation plan (For Evidence based evaluations) Project quality plan

Milestone

Who

Sign off of project plan in place by end July 2009

University of Edinburgh, ERIS PM

Agree full scope of workpackage s by end Sept 2009 Mid term report by end March 2010 Project

Page 40 of 44 Document title: JISC Project Plan

Deliverables

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009 project management tool (Basecamp)

closure and appropriate reporting by end march 2011 (to include all evaluations work)

Ongoing evidence based evaluation of project activity against plan Ongoing evaluation of quality assurance against project deliverables

To meet the reporting requirements of JISC, SCURL and the lead institution;

April 2009

March 2011

Management of project budget in liaison with UoE and work package teams Publish appropriate project reporting via project websites and through proactive reporting using online/social mechanisms such as twitter, netvibes, wordpress etc

Reporting as required by project

Project reports as required

Undertake formative review of ERIS Project (6 monthly)

Formative evaluation reports

Evidence of social networking activity

Undertake 6 monthly formative review of project progress and report back to JISC in the event of any significant change Page 41 of 44 Document title: JISC Project Plan

22683742.doc

Summary report of project social Networking goals (lessons learned)

6 monthly formative evaluations as milestones

ERIS PM and Project Delivery team

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

To establish appropriate channels of communication to help build bridges between researchers, repository managers, the project officers and the project partners – this will involve working in close partnership with WP1 and may also involve setting up a dedicated project wiki, a socialnetworking portal or Facebook group;

April 2009

To manage the dissemination programme in collaboration with the WP officers, the partners and, as and when necessary, JISC;

April 2009

To organise dissemination activities in close collaboration with the relevant WPs

April 2009

March 2011

March 2011

Develop engagement for project considering researchers repository professionals.

user plan – both and

Establish and maintain social website for both repository managers and researchers to discuss issues surrounding IR work in Scotland Development of a plan of formal dissemination activities

Develop user engagement plan for researchers Develop user engagement plan for repository managers

Carry out the organisation and participation of two significant events – one for researchers and one for repository managers

Develop fixed dissemination plan Develop social networking strategy

Project Dissemination event (SAC)

Dissemination plan Summary report of project social Networking goals (lessons learned)

Project event Event report

Project Dissemination event (Repository Fringe 2010 – To be confirmed)

ERIS PM and Project Delivery team

Initial plan in place by end Sept 2009

ERIS PM and Project Delivery team

Summary report of project social networking goals in place by end March 2011 Project event held at SAC by end Mar 2010 (link to WP1) Project event held in Edinburgh

Page 42 of 44 Document title: JISC Project Plan

Project website for user engagement (link to WP1)

Project website in place by end Sept 2009

Set up project websites for project communications/dissemi nation and for user engagement

Set up of a social networking strategy to engage via blog posts and commenting etc March 2011

User engagement plan

22683742.doc

ERIS PM and Project Delivery team

Project Acronym: ERIS Version:1.0 Release

To commission and liaise with external consultant(s) for the summative evaluation;

Contact: James Toon Date:11/08/2009

April 2009

March 2011

Summative evaluation of WP3 deliverables by WP1 workstream Plan organise and undertake summative evaluation of entire ERIS Project

WP3 Summative evaluations Prepare for an run Summative evaluation independent to project delivery team

Summative evaluation reports to correspond with WP3 deliverables (link to WP1) Full project Summative evaluation

July 2010 WP1summati ve reporting in place end June 2010 (link to WP1)

ERIS project manager

Full summative evaluation in place by end March 2011

WP5 Outcomes: (NB – WP5 is essential for delivery of all ERIS Project WP) Short Term Factors (a) Improved facilities; researcher-friendly repositories supporting research pooling and other collaborative work and with added value to encourage deposit; (b) Interoperability; Improved workflows and metadata exchange for seamless embedding of the repositories in the research and institutional processes; (c) Improvements in education and training; enhanced knowledge and skills within institutions at all levels; (d) Improved community collaboration; transferable best practices and service models; Long-term: (post project factors) (a) Improved rate of deposit; increased deposit rates leading to critical mass of research output available at both institutional and cross-repository levels. (b) Development of trust; increased user confidence – amongst researchers and institutional managers – in the value and longevity of repositories; (c) Demonstrated return on investment; increased confidence in the long-term ability of repositories to enhance visibility for Scottish research and, as a result, the practical and commercial exploitation of the Scottish research base

Page 43 of 44 Document title: JISC Project Plan

22683742.doc

Project Acronym: ERIS Version:1.0 Release

Contact: James Toon Date:11/08/2009

Page 44 of 44 Document title: JISC Project Plan

22683742.doc