Operational Policies
Further Information
The OpenDOAR policies tool is a simple way for repository administrators to formulate and/or present their repository's policies. It provides a series of check boxes and pick lists for all key policy options.
Repositories handling audio-visual and learning materials can find a wealth of policy advice and templates in the Strategic Content Alliance IPR Toolkit.
UK Examples of Policy Documents
Oxford Research Archive Policies
Oxford Research Archive Notice and Take-down procedure
University of Leicester Policies
Leeds Metropolitan University Operational Policies
International Examples of Policy Documents
Georgia Tech Mission and Collection Development Policy
Strategic policies are concerned with the bigger picture and their consideration will begin to inform the day to day operation of the repository. The details of day to day operations are defined by operational policies. Operational policies are essential tools for a wide variety of people involved in the practical aspects of running a repository.
Operational policy areas include:
Submission policies
- Who can deposit?
- What type of materials can they deposit and in what format?
- Are there any policies relating to content packaging?
- What level of moderation is required for checking deposits, for example:
- At what stage is IPR checked to ensure legality of deposited content and who does this (particularly relevant to the use of third party content in learning and teaching materials)
- Are any quality checks included (in relation to formats such as sound quality, or in relation to pedagogic quality) and who does this. It may be that existing quality processes are felt to be sufficient.
Collection policies
- Will the repository focus on a specific discipline, or will it reflect the entire academic output?
- What types of materials are sought?
- What metadata must be collected?
- What versions are acceptable?
- Should peer or quality reviews be implemented?
Preservation policies
- For how long will the repository aim to preserve deposits?
- Can this be guaranteed?
- What formats should be used for preservation purposes?
- How will learning and teaching materials be updated - particularly when content becomes obsolete or wrong
Usage policies
- What can end-users and services do with repository metadata and content?
- How should publishers restrictions or embargoes be managed?
- At what level should usage be permitted, e.g. on an item by item level?
- Is there a take-down policy to respond to copyright or other infringement?
Notice and Take-Down policies
Examples
U-Now takedown policy (Nottingham University)
UAL Take Down Policy (Open Educational Resources (ADM-OER) Project)
A take-down policy serves to try and minimise institutional risk from inappropriate material being made available through the repository. In the same way that institutions rarely police the content provided by an author on other webpages, repositories can provide a facility for authors to expose their work on their own cognisance. This forms part of the concept of the Deposit Licence, in asking authors to accept copyright and content responsibility for the material that they deposit. However, what happens if there is a complaint by a reader? Complaints may be genuine, erroneous or frivolous and it might take some time to decide which. It is important to know in advance what measures should be taken to handle the situation.
A take-down policy should state what action should be taken, by whom, and in what timeframe, to secure the situation. This might be something as simple as saying that any complaint will be passed on within 'x' hours of receipt on a working day to be assessed for removal of the public record within, say, 24 hours or shorter. There would then need to be some defined process where the complaint could be properly assessed and an appropriate course of action taken.
