Project Information. PRIME (Publisher, Repository and Institutional Metadata Exchange)

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1 tbc JISC Project Plan Project Identifier Project Title Project Hashtag Project Information To be completed by JISC PRIME (Publisher, Repository and Institutional Metadata Exchange) #primeproject Start Date November 1 st 2012 End Date October 31 st 20 Lead Institution Project Director Project Manager Contact Partner Institutions Project Webpage URL Programme Name Programme Manager University College London (UCL) Dr Paul Ayris (UCL) Brian Hole (Ubiquity Press and UCL) brian.hole@ubiquitypress.com UCL Library Services UCL Institute of Archaeology Archaeology Data Service Ubiquity Press Managing Research Data Simon Hodson Author(s) Project Role(s) Brian Hole Project Manager Document Information Date 26 November 2012 Filename jisc_project_plan_prime_0-3.docx URL Access This report is for general dissemination Document History Version Date Comments First version of plan for review Updated review version (dates, personnel, risks) Updated with feedback from first workshop Updated details for ADS Page 1 of 15

2 Table of Contents 1. Project Overview Project Summary Objectives Anticipated Outputs and Outcomes Overall Approach Anticipated Impact Stakeholder Analysis Related Projects Constraints Assumptions Risk Analysis Technical Development Standards Intellectual Property Rights Project Resources Project Partners Project Management Project Roles Programme Support Detailed Project Planning Evaluation Plan Quality Assurance Dissemination Plan Exit and Embedding Plans Sustainability Plans Appendices... Appendix A. Project Budget... Appendix B. Workpackages Page 2 of 15

3 1. Project Overview 1.1 Project Summary PRIME is a one-year collaboration between the UCL Institute of Archaeology, the Archaeology Data Service, UCL Library Services and Ubiquity Press, funded by the JISC. The project is piloting the automated exchange of metadata between publishers, subject-based and institutional repositories. PRIME will ensure that each stakeholder has a record of content relevant to them, even when the data itself is held elsewhere. The project is building upon the work of three other JISC-funded projects: DryadUK, REWARD, and SWORD-ARM. Through sharing metadata between systems and the use of the Journal of Open Archaeology Data, the project is both decreasing the burden on researchers to deposit data, and incentivising them with increased citation potential and discoverability. PRIME has particularly important benefits for the institutional repository, which is not necessarily wellsuited to the curation and preservation of specialised data types. Research data is often deposited in subject repositories because they offer curatorial skills particular to that discipline, appropriate visualisations and access, and are frequently mandated by funders. PRIME aims to ensure that a record of such data is transferred to the institutional repository as well, so that it has a more complete record of the university s outputs. This is particularly important in the context of the Research Exercise Framework and for helping the institution to raise its profile. PRIME is also receiving technical guidance from Symplectic, and also from Dryad and Figshare, who will also provide a formal evaluation of the project s outcomes and sustainability plans. 1.2 Objectives 1. To demonstrate the viability of a metadata exchange mechanism for subject-based and institutional repositories, and make this available (in the form of a metadata schema and open source plugins for EPrints and Annotum delivery: by end of project). 2. To increase visibility of datasets created by UCL researchers. This will be done by ensuring through the pilot that archaeology datasets in the UCL ADS are mirrored in UCL Discovery and vice versa (delivery: by end of project). 3. To track researchers experience and feedback of the prototype system. For this purpose at least five case studies will be recorded (delivery: by end of project). 4. To disseminate the findings of the project. This will involve an open workshop held at the end of the project, at least two research papers to be submitted before the end of the project, and at least three conference papers to be presented in Anticipated Outputs and Outcomes No. Delivery date Output / Outcome Type (e.g. report, publication, software, knowledge built) 1 Draft: December 20 Final: March 20 Scoping document Brief Description A scoping document for the metadata schema and prototype system will be Page 3 of 15

4 2 Draft: December 20 Final: March 20 Development plan 3 October 20 Metadata schema 4 Implementation: May 20 Modifications to Source release: October 20 UCL Discovery/RPS, produced in a workshop at the start of the project A development plan for the prototype system will be produced in a workshop at the start of the project The metadata schema used in the pilot will be openly released Modifications will be made to enable the automated exchange of metadata for the pilot. Open source plugins will be made available where possible. ADS, JOAD 5 October 20 Case studies Five case studies detailing different scenarios of data deposit with associated metadata transfer and publisher interaction. 6 October 20 Workshop report 7 October 20 Final project report 8 October 20 Research papers 9 Throughout project Conference presentations An open workshop with possible hackathon will be held at the end of the project. At least two research papers will be produced At least three conference presentations will be given 1.4 Overall Approach Strategy and/or methodology and how the work will be structured Overall the strategy of the project can be summarised as one of producing a metadata schema for exchange of information between journals and subject and institutional repositories, modifying three systems to pilot this, and recording case studies of its use. The work will be divided into 7 work packages: 1. Project management 2. Scoping and metadata design 3. UCL RPS/Discovery development/integration 4. ADS development/integration 5. JOAD development/integration 6. Feedback and evaluation 7. Dissemination These work packages will run for the most part in parallel, and are described in detail in appendix B. Important issues to be addressed The UCL RPS/Discovery systems may need to be modified to accept incoming metadata in the proposed format. This is not anticipated to be difficult, but is essential to the success of the project, and will require careful management of UCL resources to be achieved. At the same time, JOAD and the ADS will be modified in the same way. It will be essential to the success of the project that each of these modifications result in automatic processes involving the minimum of human intervention. Scope and boundaries of the work Page 4 of 15

5 The project will focus on data from the UCL Institute of Archaeology only, and case studies will be chosen that fit within the 12-month timeframe of the project. The only repositories to be involved will be UCL Discovery and the ADS. Critical success factors - The metadata profile must have been agreed in time for repository and journal modifications to be made (latest January 20). - The modification of UCL RPS/Discovery must be confirmed to be possible and completed in time for project testing to proceed (latest March 20). - JOAD must be modified and ready to send metadata in time (latest March 20). - The ADS must be modified and ready to send and receive metadata in time (latest March 20). 1.5 Anticipated Impact Impact Area The Institute of Archaeology UCL The ADS The wider community Anticipated Impact Description Short term As a result of the project, major IoA datasets held by the ADS will be mirrored in UCL Discovery. Medium term Researchers with data discoverable through UCL Discovery, the ADS and JOAD are likely to receive more downloads, citations and potential collaborations. Longer term Ability to demonstrate greater impact for future REF exercises. Short term UCL Discovery will receive additional metadata deposits, expanding its records for research data. Medium term Ability to expand data coverage by integrating with additional repositories, without the need to hold curation-intensive datasets. Longer term Ability to demonstrate greater impact for future REF exercises. Short term The ADS will receive additional metadata deposits, expanding its coverage of archaeology data. Medium term Ability to expand data coverage by integrating with additional institutional repositories and journals. Medium term Proof of concept available to be taken up by other disciplinary repositories (e.g. Dryad), institutional repositories, and journals. Longer term Potential solution to problem of institutional repositories needing to have record of all outputs, yet not being always the best place for the data to be held and curated. Page 5 of 15

6 1.6 Stakeholder Analysis Stakeholder Interest / stake Importance (H/M/L) Researchers Interested in improving dissemination of work, H saving time in managing institutional record, improving REF scores. UCL Institute of Archaeology Interested in improving public image, increasing H collaboration, improving REF scores, and potentially securing more funding. UCL Library Services Desire both to increase dataset coverage in H institutional repository, and also to reduce requirements for staff subject-specific data curation skills. UCL Improvements in REF, increased collaboration, M more funding and improved public image for university. ADS Increasing coverage of own holdings, making H these more discoverable, improving value for depositors, enriching relationship with university. Ubiquity Press Interested in lowering effort barrier to deposition H of data associated with papers, and increasing the findability of that data to maximise benefit for authors. Funding bodies Want to see all outputs of funded research M distributed as widely as possible. Other JISC projects Will be able to take advantage of project L recommendations, and to duplicate any proven mechanisms. Other institutional repositories Will be able to take advantage of project M recommendations, and to duplicate any proven mechanisms, potentially increasing dataset coverage while reducing requirements for staff subject-specific data curation skills. Other disciplinary repositories Will be able to take advantage of project recommendations, and to duplicate any proven mechanisms, potentially increasing coverage of own holdings, making these more discoverable, improving value for depositors, enriching relationship with universities. M 1.7 Related Projects In principle, all JISC projects dealing with institutional data archiving will be interested in the outcomes of PRIME, and the following projects in particular: Current Projects Project PREPARDE SWORD-ARM Interest Research data publication workflows, including peer review. Exchange of archaeological metadata, and use of SWORD to further automate this. Page 6 of 15

7 Previous projects Project DryadUK REWARD Interest The Dryad-UK project (Sep-2010 to Oct-2011) demonstrated a way that the deposit of data in a subject repository could be integrated in the workflows of a wide range of publishers, with the transfer of metadata from the journal to the repository in order to lower the burden for the researcher. These mechanisms will be taken into account and further developed in PRIME, and will be of interest to the ongoing Dryad repository. Running at UCL from Oct-2011 to Mar-2012, this short pilot project demonstrated that it is relatively easy to modify an institutional EPrints repository such as UCL Discovery to accept datasets, and that this can be manually integrated into a publisher s workflow. PRIME will expand upon this proof of concept. 1.8 Constraints The main constraint on the project is time while we do not anticipate any major problems, all case studies will need to complete within the project s twelve-month timeframe. 1.9 Assumptions That the UCL RPS/Discovery system can be easily modified to accept dataset metadata That the ADS system can be easily modified to accept dataset metadata That a common metadata profile can be achieved, suitable not only for archaeology data, but with potential for data from all disciplines That existing mechanisms for metadata exchange (e.g. SWORD, OAI-PMH) are sufficiently suitable for implementing this prototype Risk Analysis Risk Description Staff retention on a short project Page 7 of 15 Probability (P) 1 5 (1 = low 5 = high) Severity (S) 1 5 (1 = low 5 = high) Risk Score (PxS) Detail of action to be taken (mitigation / reduction / transfer / acceptance) Mitigation by putting staff in place before project start. Project manager has long-term commitment to Ubiquity Press and is thus unlikely to leave. Developer is to be hired on a longer-term basis, being kept on once the project is completed. Difficulty of finding suitable developer Mitigation of beginning interview process as early as possible. Note that a developer could have been engaged early on but had to be released as transfer of funds from UCL was delayed. UCL RPS/Discovery is Work done on the REWARD

8 not as easily modifiable as anticipated The ADS system is not as easily modifiable as anticipated Delays in transfer of funds from UCL to Ubiquity Press project has shown that this is unlikely to be an issue. Staff from EPrints and Symplectic have already been consulted, and will serve on the project s advisory board Work already done by the ADS with TDar and now on SWORD-ARM indicates that this is unlikely to be an issue Mitigation through holding of early meetings with UCL financial staff, with assurances that all will run smoothly. Note that this did not work in the first instance, and has resulted in a 3 month delay Technical Development The technical development required for this project is of a moderate level. With regard to modifying UCL RPS/Discovery, this is anticipated to be a configuration exercise for UCL Research Application Services. For modifying JOAD, Ubiquity Press will use the Scrum agile development methodology to make minor code (PHP) changes to the Annotum publishing platform. A decision on the technology to be used for the pushing/harvesting of metadata will be made at a workshop held at the beginning of the project Standards Definite standards Name of standard or Version Notes specification PRINCE 2 Project management will follow PRINCE2 guidelines and best practices. Potential standards (tbc) Name of standard or Version Notes specification SWORD 2 Possible metadata transfer mechanism. OAI-PMH 2 Possible metadata transfer mechanism. 1. Intellectual Property Rights All intellectual property created by the project will be released into the public domain. Any research articles will be published open access, and any data will be openly archived with a CC0 license. UCL and Ubiquity Press have the right to modify the EPrints and Annnotum software respectively as both are released under GPL licenses. Any code modified or created will also be released under GPL. Page 8 of 15

9 2 Project Resources 2.1 Project Partners Project partner Role Main contact UCL Library Services Advice Paul Ayris Graham Hunt UCL Research Application Services UCL RPS/Discovery modification UCL Institute of Archaeology Case study involvement, advice Andrew Bevan Archaeology Data Service ADS modification Michael Charno Ubiquity Press Project management, case studies, main development effort Brian Hole A consortium agreement between UCL and Ubiquity Press was signed on October 15 th Project Management As PRIME is a relatively small project, the project team is also small and does not require a diagram. The project manager is Brian Hole from Ubiquity Press, under the overall authority of the PI, Paul Ayris of UCL. The project manager will maintain the project plan and risk register, managing project resources and budget, coordinate project partners in the execution of the work packages, coordinate meetings of partners, submit progress reports to the JISC, and represent the project at JISCRDM meetings. The project will maintain a website ( with microblogs for events and news, and a twitter hastag (#primeproject). 2.3 Project Roles Team Member Name Role Contact Details Days per week to be spent on the project Brian Hole Project Manager brian.hole@ubiquitypress.com 5 days TBC Developer 5 days Michael Charno ADS technical lead michael.charno@york.ac.uk 2 hours Paul Ayris Principle Investigator p.ayris@ucl.ac.uk 1 hour Graham Hunt UCL Research m.moyle@ucl.ac.uk 1 hour Application Services Manager Andrew Bevan Institute of Archaeology advisor on research data a.bevan@ucl.ac.uk 1 hour 2.4 Programme Support Programme support is mainly required from JISC in the area of enabling contact with other JISCMRD projects. Page 9 of 15

10 3 Detailed Project Planning 3.1 Evaluation Plan Timing Factor to Evaluate Questions to Address Method(s) Measure of Success November Draft metadata Workshop 2012 profile defined November 2012 May 20 Development plan agreed UCL RPS/Discovery modification Has a profile been defined that is suitable for the project to use for the pilot? Has a plan been created that can be used for the pilot? Has the repository been initially modified to transfer metadata, ready for testing? May 20 ADS modification Has the repository been initially modified to transfer metadata, ready for testing? May 20 JOAD modification Has JOAD been initially modified to transfer metadata, ready for testing? October 20 September 20 October 20 Case studies Metadata transfer Have sufficient (5) case studies been initiated? Have all relevant datasets in both repositories been transferred in terms of metadata Dissemination Have at least 2 workshops been held? Have 3 conference papers been given? Have 2 research articles been submitted? 3.2 Quality Assurance Workshop Review Review Review Review Review Review Metadata profile is proposed in meeting and agreed by end of November Development plan is proposed in meeting and agreed by end of November Repository is ready for testing Repository is ready for testing Journal is ready for testing At least 5 case studies have started recording All relevant datasets in both repositories been transferred in terms of metadata 2 workshops held. 3 conference papers given. 2 research articles submitted. Output / Outcome Name When will QA be carried out? March 20 September 20 Output / Outcome Name When will QA be carried out? March 20 September 20 Overall metadata exchange protoype Who will carry out the QA What QA methods / measures will be used? work? Ubiquity Press Functional software testing Annotum metadata transfer plugin (JOAD) Who will carry out the QA What QA methods / measures will be used? work? Ubiquity Press Functional software testing Page 10 of 15

11 Output / Outcome Name When will QA be carried out? March 20 September 20 ADS modifications Who will carry out the QA work? Ubiquity Press / ADS What QA methods / measures will be used? Functional software testing Output / Outcome Name When will QA be carried out? March 20 September 20 UCL RPS/Discovery modifications Who will carry out the QA work? Ubiquity Press / UCL Research Application Services What QA methods / measures will be used? Functional software testing Output / Outcome Scoping document and development plan Name When will QA be Who will carry out the QA What QA methods / measures will be used? carried out? work? November 2012 PRIME Advisory Board Qualitative review 3.3 Dissemination Plan Timing Dissemination Activity Audience Purpose Key Message Presentation and poster Other JISC Raise awareness About key aims at JISC MRD programme projects of project among and methods of meeting in Nottingham other projects project. October 2012 November 2012 Initial project workshop 20 Three conference presentations 20 Two research papers to be submitted to journals Ongoing Project website, blogs and twitter feed Direct stakeholders 1 each of repository, researcher and RDM communities Draft metadata profile, development plan Present methodology and current findings of project Project is underway and requires support Based on methodology and current findings. tbc tbd Based on methodology and key findings. General Keep updated about project status, events and findings. Various 3.4 Exit and Embedding Plans Project Outputs/Outcomes Modification of UCL RPS/Discovery Modification of ADS Page 11 of 15 Action for Take-up & Embedding Use of UCL Discovery for data archiving will be promoted among IoA researchers. Use of the ADS for data archiving will be promoted among IoA researchers. Action for Exit Recommendations will be made to UCL and the IoA for the continued metadata transfer with the ADS and JOAD. Recommendations will be made to the ADS for continued

12 Modification of JOAD/Annotum Use of UCL Discovery and the ADS for JOAD will be promoted for all UCL researchers. metadata transfer with UCL and JOAD. Functionality will be retained following the project, and extended to other institutional repositories as well. Final project report - Report will be submitted to JISC and openly archived in UCL Discovery. Three conference presentations All conference presentations will be posted to the project website. Content of conference presentations will be included in published research paper(s). Two research papers - Research papers will be published in open access journals and blogged/tweeted. 3.5 Sustainability Plans Project Outputs Why Sustainable Scenarios for Taking Forward Modification of UCL RPS/Discovery Modification of ADS Modification of JOAD/Annotum Once implemented, the functionality can remain and be available for future use. Once implemented, the functionality can remain and be available for future use. Once implemented, the functionality can remain and be available for future use. Use of UCL Discovery for data archiving will be promoted among IoA researchers. Use of the ADS for data archiving will be promoted among IoA researchers. Use of UCL Discovery and the ADS for JOAD will be promoted for all UCL researchers. Issues to Address System will need to require minimum human involvement. Metadata will need to be flexible/appropriate for all disciplines. System will need to require minimum human involvement. Metadata will need to be flexible/appropriate for all disciplines. - Page 12 of 15

13 Appendices Appendix A. Project Budget Directly Incurred Staff Jun11 Jul12 TOTAL Project manager 69,894 69,894 Developer 60,450 60,450 Total Directly Incurred Staff (A) 0,344 0,344 Non-Staff Jun11 Jul12 TOTAL Travel and expenses 6,000 6,000 Workstations x 2 3,000 3,000 Dissemination 5,000 5,000 Total Directly Incurred Non-Staff (B) 14,000 14,000 Directly Incurred Total (C) (A+B=C) 144, ,344 Directly Allocated Jun11 Jul12 TOTAL Paul Ayris, 2 hours/week 3,040 3,040 Andy Bevan, 2 hour/week 2,778 2,778 UCL Management Systems staff (15 days) 4,220 4,220 ADS Michael Charno (Lei Xia, 15 days) 3,352 3,352 ADS Katie Green (5 days) 2,026 2,026 Symplectic developer (20 days),500,500 DCC staff member, half day Estates 2,860 2,860 Directly Allocated Total (D) 32,486 32,486 Indirect Costs (E) 9,080 9,080 Total Project Cost (C+D+E) 185, ,910 Amount Requested from JISC 150, ,000 Institutional Contributions 35,910 35,910 Percentage Contributions over the life of the project No. FTEs used to calculate indirect and estates charges, and staff included JISC 80.6 % No FTEs 5 Total 80.6% Which Staff Paul Ayris, Andy Bevan, UCL MS team member, Lei Xia, Stuart Jeffrey Page of 15

14 Appendix B. Workpackages Work Package 1: Project Management A dedicated project manager will be provided by Ubiquity Press, working in close liaison with both UCL Library Services, the ADS and the UCL Institute of Archaeology. The project manager will be based at the UCL Institute of Archaeology. They will maintain the project plan and risk register, managing project resources and local budget, coordinate project partners in execution of the work packages, coordinate meetings of partners and advisory board, submit progress reports to JISC, and represent the project at JISC MRD meetings. They will maintain a project mailing list and an open project wiki in which the project plans and progress will be documented. Effort: 100 days Work Package 2: Scoping and Metadata Design The metadata profile and technologies to be used on the project will be decided upon in the first month. This will involve a one day workshop at UCL bringing together all of the main stakeholders to produce a draft scoping document and software development plan. This will then be more fully developed and made available for feedback from the wider community in February 20 before being finalised in a second workshop in March 20. Effort: 25 days Work Package 3: UCL Discovery Development/Integration Required development work will be carried out at UCL Library Services to modify their system where required to send and receive metadata records. Main development work will be carried out by the project s full time developer based on campus with Ubiquity Press, and project funds will be made available for a staff member on UCL s Management Systems team (the Symplectic Elements ingest part of the system) for additional curatorial and testing work as required. Support and advice will be provided where required by the EPrints team in Southampton, and Symplectic in London. Where possible changes made to the EPrints system will be released under an open source licence to the community as plugins. Effort: 25 days Work Package 4: ADS Development/Integration Development work required on the ADS repository in for it to send and receive metadata records will be carried out by a staff member funded on a part-time basis. Support will be provided by the project s full time developer, who will travel to York as required when the main development effort takes place. Any products of this development which can be used by the wider community will be released under an open source licence. Effort: 25 days Work Package 5: JOAD Development/Integration Modifications to JOAD will be carried out by the project s full-time developer. This will involve building additional modules for the Annotum open access publishing platform on which the journal is based, which will then be released to the community under an open source licence. Effort: 25 days Workpackage 6: Feedback and Evaluation The results and experiences of the project, including details of five case studies, will be circulated among the wider community for feedback. Detailed evaluation of the project s outputs will be conducted by Dryad and Figshare. The evaluations will focus on strengths and weaknesses of the system developed under PRIME, critique the business plan for future sustainability, and make recommendations for what could be done to further extend the system to include other repositories and publishers. Effort: 20 days Page 14 of 15

15 Work Package 7: Dissemination The findings and recommendations of this project will be disseminated with at least two conference presentations, at least one research article, via a project website, blog, and applicable mailing lists. In addition, an open workshop (workshop 3) will be held towards the end of the project in order to disseminate the findings to other departments and institutions, and to make any recommendations for future work in this area. Part of this workshop will be a hackathon to explore ways to make greater use of the data deposited in the institutional repository, also involving originators of the datasets to capture their views and reactions to the reuse. Effort: 40 days Project plan overview WP 1: Project Management Nov - 12 Dec- 12 Jan- Feb- Mar - Apr- May - Jun- Jul- Aug- Sep- Oct- WP 2: Scoping and Metadata Design WS1 1, 2 WS2, 1, 2 WP 3: UCL Discovery Development/Integration 4 4 WP 4: ADS Development/Integration 4 4 WP 5: JOAD Development/Integration 4 4 WP 6: Feedback and Evaluation WS1 WS2 WS3 WP 7: Dissemination 3, 5, 6, 7, 8 WS: Workshop Deliverable numbers: see section 1.3 Page 15 of 15