Want to support and monitor the implementation of the FP7 Open Access pilot? Want to help your faculty members comply with the Open Access requirements of the European Commission (EC)? Interested in learning more about making your repository compliant with the OpenAIRE infrastructure? Want to add EC project data to your repository records and use OpenAIRE value-added functionality (post authoring tools, monitoring tools through analysis of document and usage statistics)? See the slides from our online workshop! In order to harvest and connect publications to related EC FP7 grant agreement and calculate the percentage of Open Access versus non-Open Access publications, the OpenAIRE project requires repositories to adapt to the OpenAIRE Guidelines. These are low-barrier requirements for OAI-PMH compliant repositories that build on the oai_dc and DRIVER Guidelines. When your repository is OpenAIRE compliant, its FP7 funded content is harvested periodically, indexed within the OpenAIRE portal and presented in the OpenAIRE search and browse section. In this way, FP7 funded research results deposited in your repository can achieve wider visibility and distribution – and be read, used and cited more widely by the global research community. Research managers in your institution will be able to compare your institutional performance in FP7 projects with the performance of other institutions in your country and within the European Union using the OpenAIRE FP7 publication statistics tool. You will also save time for researchers at your institution. Repositories, successfully harvested by the OpenAIRE, are entitled to display the OpenAIRE logo on their website, to certify quality and the global networked status of their content. The OpenAIRE project team can help you with your targeted advocacy activities to ensure that high quality content is deposited into your repository and then harvested by the OpenAIRE portal. We reach out to the researchers publishing FP7 funded articles and encourage them to self-archive in your repository.

1. Pedro Príncipe & José Carvalho , Paolo Manghi
How to make your repository
OpenAIRE compliant
Online workshop – January 23 and 24, 2012

2. AGENDA
1) OpenAIRE and compliancy with the ERC Scientific
Council Guidelines for Open Access and the European
Commission Open Access Pilot in FP7, Pedro Príncipe
2) How to make your repository OpenAIRE compliant,
Pedro Príncipe
3) Compliancy for proprietory platforms: what and how,
Paolo Manghi, Istituto di Scienza e Tecnologie
dell'Informazione "A. Faedo" - CNR
4) Questions and Answers.
2

3. OpenAIRE and compliancy with
the EC/ERC OA policies
1/4
OpenAIRE in a nutshell…
How to comply with the EC/ERC OA policies

4. The European Comission and the European Research
Council want to provide the widest dissemination and
access to the results of the research they fund.
OpenAIRE implements the Open AccessOpenAIRE implements the Open Access
requirements in EU Member Statesrequirements in EU Member States
4

5. Main goals
Deliver an electronic infrastructure and
supporting mechanisms for the identification,
deposition, access, and monitoring of FP7 and ERC
funded articles.
Additionally, offer a special repository for articles
that can be stored neither in institutional nor in
subject-based/thematic repositories.
All deposited articles will be visible and freely
accessible world-wide through a new portal to
the products of EU-funded research, built as part
of this project.
Work with several subject communities to explore
the requirements and practices to deposit, access
and manage research datasets in combination
with research publications.
5
Helpdesk &Helpdesk &
repositoriesrepositories
OrphanOrphan
repositoryrepository
OpenAIREOpenAIRE
portalportal
Study &Study &
OpenAIREplusOpenAIREplus

6. European Research Council
December 2007December 2007
ERC Scientific Council publishes
Guidelines for Open Access, as a
follow up of its 2006 Statement on
Open Access.
ERC, requires:
that all peer-reviewed
publications from ERC-funded
research projects be deposited on
publication into an appropriate
disciplinary or institutional
repository, and subsequently made
Open Access within 6 months of
publication.
6

7. Open Access Pilot in FP7
August 2008August 2008
European Commission launched the Open
Access Pilot in FP7 that will run until the end
of the Framework Programme
The pilot applies to 7 research areas:
1. Energy
2. Environment (including Climate Change)
3. Health
4. Information and Communication
Technologies (Cognitive Systems,
Interaction, Robotics)
5. Research Infrastructures (e-
infrastructures)
6. Science in society
7. Socio-economic sciences and the
humanities
7

8. Open Access Pilot in FP7
Grant agreements in those 7
areas, signed after August 2008,
contain a special clause (Special
Clause 39) requiring beneficiaries:
1. to deposit articles resulting from FP7
projects into an institutional or
subject based repository
2. to make their best efforts to ensure
open access to these articles within
six months (Energy, Environment,
Health, Information and
Communication Technologies,
Research Infrastructures) or twelve
months (Science in Society, Socio-
economic Sciences and Humanities
8

9. Complying with FP7 and ERC
requirements
»»»»» What to deposit?
»»»»» Where to deposit?
»»»»» When to deposit?
9

10. What to deposit?
Published version
– publisher’s final version of the paper, including all
modifications from the peer review process, copyediting
and stylistic edits, and formatting changes (usually a PDF
document)
OR
Final manuscript accepted for publication
– final manuscript of a peer-reviewed paper accepted for
journal publication, including all modifications from the
peer review process, but not yet formatted by the
publisher (also referred to as “post-print” version).
10

11. Where to deposit?
Institutional repository
– of the research institution with which they are affiliated
OR (If this is not possible)
Subject based/thematic repository
OR
Orphan Repository provided by OpenAIRE for
articles that can be stored neither in institutional
nor in subject-based/thematic repositories
11

12. When to deposit?
Researchers should deposit their articles or manuscripts in a
relevant repository immediately upon acceptance for
publication, to be made open access within six or twelve
month depending on the FP7 research area
6 Months Access Embargo 12 Months Access
Embargo
ERC All grant recipients after 2007
FP7 in the thematic areas:
"Health", "Energy", "Environment" (including
Climate Change)", and "Information &
communication technologies" (“Cognitive Systems”,
“Interaction” and “Robotics”)
in the activity:
"Research infrastructures" (e-infrastructures)
in the thematic area:
"Socio-economic Sciences
and the Humanities"
in the activity:
"Science in Society"
12

13. The pilot covers approximately 20%
of FP7 projects:
13

14. How to comply workflow
14
REPOSITORY
Submit
manuscript to
publisher
Final author
manuscript
14

15. Repository Managers
How to support researchers?
»» Make your repository OpenAIRE complaint»» Make your repository OpenAIRE complaint
15

16. How to make your repository
OpenAIRE compliant
2/4
Steps to make your repository OpenAIRE complaint
OpenAIRE guidelines

17. Steps to make your repository
OpenAIRE complaint
1.1.Register your repository in OpenDOAR
OpenDOAR is an authoritative worldwide directory of
academic open access repositories.
2.2. Test compliancy with OpenAIRE
Make your repository OpenAIRE complaint – by
implementing the OpenAIRE Guidelines
17
3.3. Add your repository in OpenAIRE
OpenAIRE in collaboration with OpenDOAR provides you an
easy web tool to help you register the repository.

18. 1. OpenDOAR
The first step is to register your repository in
OpenDOAR.
If you are already registered in OpenDOAR:
– Check if the information is update
– Attention to the URL and admin email
18

19. 2. OpenAIRE Guidelines
First of all, compliance to the OpenAIRE guidelinesFirst of all, compliance to the OpenAIRE guidelines
The purpose of OpenAIRE Guidelines is to make FP7/ ERC
publications visible. To achieve this and allow central
harvesting of FP7/ ERC publications, repositories must
comply with some minimum technical requirements.
“The OpenAIRE Guidelines are simple metadata
specifications for repositories that need to be OpenAIRE
compliant. After complying to the OpenAIRE guidelines,
the repository will become the single entry point for
researchers that want to deposit FP7 publications.”
19

20. 2. OpenAIRE Guidelines
Make your repository OpenAIRE compliant by
implementing the OpenAIRE Guidelines
Plugins (popular repository platforms) helps to
implement the guidelines
Repository should enable the deposition of
publication files and metadata (also info relative to
the EC projects funding)
Get EC project data
20

21. 2. Test the OpenAIRE compliance
After you have made some progress in implementing the
guidelines you should run a compliancy test.
The OpenAIRE provides a validator where you can verify if
the repository is truly compatible with the guidelines.
www.openaire.eu:8380/dnet-validator-openairewww.openaire.eu:8380/dnet-validator-openaire
Enter the OAI-PMH base URL of your repository and choose
to test your repository against the OpenAIRE rule set.
After running the test you can browse the results.
Please make sure you have an ec_fundedresources set and
that it contains at least one record.
21

22. 3. Join OpenAIRE
After a short compliancy test, your repository will be ready
to join OpenAIRE »» www.openaire.eu:8380/dnet-validator-openaire
Use the validator web tool to register the repository
22

23. Compliant repositories – list in
the portal
23

24. Find the repository in the
portal
24

25. The portal inform about the
repository compliance
25

26. OpenAIRE guidelines

27. OpenAIRE Guidelines
Released in July 2010 (V. 1.1 Nov. 2010)
– The OpenAIRE guidelines are
supplementary and built on top of the
DRIVER Guidelines
 Plus fields: projectID, accessRights,
embargoEndDate
– All aspects of the DRIVER Guidelines are
valid, with a very few exceptions
 DRIVER compliancy recommended, not
mandatory
27

28. OpenAIRE Guidelines
OpenAIRE Set
Content definitions:
– The content to be inserted in the
OpenAIRE set must be EC funded content
Set naming
setName setSpec*
The OpenAIRE set EC_funded_resources set ec_funded_resources
28

29. OpenAIRE Guidelines
New elements
access_rights
embargo_end_date
projectID
29

30. OpenAIRE guidelines
projectID
30
Element name projectID
DCMI definition dc:relation
Usage Mandatory
Usage instruction A vocabulary of projects will be exposed by
OpenAIRE through OAI-MPH, and available for
all repository managers. Values will include .
The projectID equals the Grant Agreement
number, and is defined by the namespace
info:eu-repo/grantAgreement/EC/FP7
Example <dc:relation> info:eu-
repo/grantAgreement/EC/FP7/12345
</dc:relation>

31. OpenAIRE guidelines
accessRights
31
Element name accessRights
DCMI definition dc:rights
Usage Mandatory
Usage instruction Use values from vocabulary Access Rights at
http://wiki.surffoundation.nl/display/standard
s/info-eu-repo/#info-eu-repo-AccessRights;
values are: info:eu-
repo/semantics/closedAccess info:eu-
repo/semantics/embargoedAccess
info:eu-repo/semantics/restrictedAccess
info:eu-repo/semantics/openAccess
Examples <dc:rights> info:eu-
repo/semantics/openAccess
</dc:rights>

32. OpenAIRE guidelines
embargoEndDate
32
Element name embargoEndDate
DCMI definition dc:date
Usage Recommended
Usage instruction Recommended when accessRights = info:eu-
repo/semantics/embargoedAccess
The date type is controlled by the name space
info:eu-repo/date/embargoEnd/, see
http://wiki.surffoundation.nl/display/standard
s/info-eu-repo/#info-eu-repo-
DateTypesandvalue. Encoding of this date
should be in the form YYYY-MM-DD (conform
ISO 8601).
Examples <dc:date> info:eu-
repo/date/embargoEnd/2011-05-12
<dc:date>

33. Compliancy for proprietary
platforms: what and how
3/4

34. OpenAIRE compliancy
Export APIs: implement export via OAI-PMH
– OpenAIRE guidelines
User-interfaces: enrich publication deposition
workflow
– Researchers must be able to associate to
past publications and future publications
license information and list of funding EC
projects
How to make your repository OpenAIRE compliant34

35. Narration assumptions
Your repository does not handle license and
project information
Your repository back-end is based on a
relational database
35 How to make your repository OpenAIRE compliant

36. Local data model changes
Your local database has to be adapted to
– Include the list of EC projects and the list of licenses as
available to OpenAIRE
– Associate to each publication an arbitrary long list of EC
projects and one license (with an end date, if license is
«embargo»)
How to make your repository OpenAIRE compliant36
EC projects
Licenses
Publications
0:n
0:n
1:1
0:n
embargo_endDate
E-R schema

37. Local database changes
Add tables or alter existing tables to handle
– Licenses
– EC Projects
– Relationships with local tables
representing publications
37

38. Local database changes
Licenses
Licenses consist of the vocabulary:
“openaccess”, “restricted”, “embargo”
– Without altering publication table: create
new tables for license vocabulary and for the
relative associations to publications
(including embargo_endDate)
– Altering publication table: create new table
for license vocabulary and add two attributes
for license type (foreign key to licenses) and
embargo_endDate
How to make your repository OpenAIRE compliant38

39. Local database changes
Licenses - Without altering publication table
39
Publications Pub_License Licenses
Embargo_endDate Name
PubID:FK,PK LicenseName: FK
Relational schema

40. Local database changes
Licenses - Altering publication table
40
Publications Licenses
Embargo_endDate Name
LicenseName: FK
Relational schema

41. Local database changes
EC Projects
OpenAIRE keeps the list of EC projects
synchronized with CORDA EC databases
OpenAIRE makes the EC projects list available for
third-party consumption through a number of
protocols:
– EC projects materialization: download via
OAI-PMH the list of EC projects from
OpenAIRE
– EC Projects on-demand: integrate user
interfaces with HTTP calls to OpenAIRE
project list
41

42. Local database changes
EC Projects
Materialization approach (heavy, but repository operation
independent from OpenAIRE system)
– Create new tables for EC projects and for the relative
associations with publications
– EC project table minimally consist of: grant agreement
and project title
– Implement synchronization threads
On-demand approach (light, but repository operation
dependent from OpenAIRE system)
– Create new table for associations between
publications and EC projects, which are referred with
their grant agreement number and title (for local
visualization)
How to make your repository OpenAIRE compliant42

43. Local database changes
EC Projects – Materialization approach
43
Publications Pub_Project ECProjects
GrantAgreement
PubID:FK,PK GrantAgreement: FK,PK
Title
Synchronization
Relational schema

44. Local database changes
EC Projects – ON-demand approach
44
Publications Pub_Project
PubID:FK,PK
GrantAgreement: PK Title
Relational schema

45. Relevant links
For repository managers:
– http://www.openaire.eu/en/support/tool
kits/repository-managers
How to make your repository OpenAIRE compliant45

46. Automatic inference of links between EC
projects and your deposited publications

47. The problem
By making your repository platform
OpenAIRE compliant your researchers will in
the future be able to specify which EC
projects have funded the publications they
are depositing and under which typology of
license
What happens with publications they
deposited in the past?
How to automatically infer relationships between publications and EC projects47

48. Solutions
Manual approach
– Researchers (or librarians with info given
by the researchers) are to go over all
deposited publications again, to fill in the
missing information
Automated approach
– OpenAIRE provides the machinery capable
of inferring links between publications and
EC projects
How to automatically infer relationships between publications and EC projects48

49. Automated inference
49
D-NET Mediation
Services
...
Publication-project
linksOpenAIRE compliant
repositories
Text (OCR)
mining
[GRID-powered,
D4Science data
infrastructure]
D-NET Inference
Services
OAI-PMH
OpenAIRE
guidelines

50. Automated inference
Requirements
– Repository manager must provide the PDF file of the
publications (e.g., FTP)
– The name of the file must contain the OAI-PMH identifier of
the metadata record relative to the file
Output
– OpenAIRE returns a list (e.g., txt, Excel) of file names followed
by the list of grant agreement numbers (i.e., project
identifiers) connected to them
– Repository managers must write scripts to use such list and
complete their databases
– Researchers may be involved to validate the result of the
automated inference process
How to automatically infer relationships between publications and EC projects50

51. Technical insights
The OpenAIRE infrastructure interoperates
with the D4Science infrastructure
– http://www.d4science.eu
The approach exploits the GRID power
embedded into the D4Science infrastructure
– http://www.gcube-system.org
How to automatically infer relationships between publications and EC projects51

52. Questions and Answers
4/4
Support information

53. www.openaireaire.eu

54. Helpdesk

55. Further Information
Open access pilot in FP7:
http://ec.europa.eu/research/scien
ce-society/open_access
Twitter: @OpenAIRE_eu
Book an individual consultation with
the OpenAIRE team members
(January 25, 26 or 27)
Contact: pedroprincipe@sdum.uminho.pt
www.openaire.eu55

56. Questions and Answers
56
Pedro Príncipe pedroprincipe@sdum.uminho.pt
Paolo Manghi paolo.manghi@isti.cnr.it
www.openaire.euwww.openaire.eu