Repository Requirements and Assessment

Repositories are a key facilitator for discovering pre-print research outputs. The technical requirements put forward in Plan S serve to ensure repositories work towards excellent standards to represent the research they hold in the best way possible.

The Six Plan S Repository Requirements

• The repository must be registered in OpenDOAR or in the process of being registered.
• Use of persistent identifiers (PIDs) for the deposited versions of the publications (with versioning, for example in case of revisions), such as DOI (preferable), URN, or Handle.
• High quality article level metadata in standard interoperable non-proprietary format, under a CC0 public domain dedication. This must include information on the DOI (or other PIDs) both of the original publication and the deposited version, on the version deposited (AAM/VoR), and on the Open Access status and the licence of the deposited version. Metadata must include complete and reliable information on funding provided by cOAlition S funders (including as a minimum the name of the funder and the grant number/identifier).
• Machine readable information on the open access status and the license embedded in the article, in standard non-proprietary format.
• Continuous availability (uptime at least 99.7%, not taking into account scheduled downtime for maintenance or upgrades).
• Helpdesk: as a minimum an email address (functional mailbox) has to be provided; a response time of no more than one business day must be ensured.

Source: cOAlition S "Part III: Technical Guidance and Requirements"

Assessing Your Repository Against the Requirements

Is your repository registered, or in the process of being registered, in OpenDOAR?

OpenDOAR is the global Directory of Open Access Repositories where repositories can register for free, provided they meet the eligibility criteria.

Are persistent identifiers (PIDs) used for deposited versions of the items (with versioning, for example in case of revisions)?

A persistent identifier, or 'PID', is a unique, long-lasting reference to a digital object. PIDs are an effective way of finding and connecting information from different sources. A PID for the deposited version of a publication refers to the PID associated with the item in the repository. These PIDs can be generated by repository software platforms in the form of 'Digital Object Identifiers' (DOIs), URLs or Handles. The PIDs in use should comply with the requirements of that selected PID scheme.

Does the repository provide high quality article level metadata?

Article level metadata (ALM) refers to the metadata of deposited items in the repository. High quality ALM is necessary to enhance discovery, reproducibility and system interoperability. A number of different metadata standards are in use across repositories, e.g. RIOXX and DataCite. Plan S does not specify a standard that the repository must use, in favour of institutional and community approaches. ALM is likely to include descriptive metadata, such as the title and abstract, a subject or keywords, language, information about versions, attribution to authors and organisations, any licence or embargo restrictions, and any relations to other works or research outputs, e.g. citations.

Is the metadata available in a standard interoperable non-proprietary format?

Metadata is structured information that helps you to manage and communicate research outputs, but the structures in your repository may not match the structures used by others. That can make it harder to communicate your data, making it less findable, accessible, interoperable and reusable (FAIR). To solve this problem communities have developed standards for metadata, but these standards are only effective for interoperability if they are open and people are permitted to use them and map between them. Examples of open standards for metadata are: RIOXX, Dublin Core, MARCXML, DataCite, JSON-LD (Schema.org).

Is the metadata available under a CC0 public domain dedication?

CC0 is a 'no rights reserved', public domain licence created by Creative Commons. CC0 enables researchers, educators, artists and other creators and owners of copyright- or database-protected content to waive those interests in their works and thereby place them as completely as possible in the public domain, so that others may freely build upon, enhance and reuse the works for any purposes without restriction under copyright or database law. This is in contrast to Creative Commons' other licences that allow copyright holders to choose from a range of permissions while retaining their copyright, CC0 provides the choice to opt out of copyright and database protection, and the exclusive rights automatically granted to creators.

Does the metadata include complete and reliable information on funding provided by cOAlition S funders?

The inclusion of funding metadata enables transparency into research funding and its outcomes. It is good practice for authors to acknowledge support for, and contributions to, their research in their published articles. This support may be financial, such as a grant or salary award; or practical, such as the use or loan of specialist facilities and equipment. They do this by listing the funding agency and the grant number somewhere in their article - usually the first or last page - or in the acknowledgments or footnotes section. This should also be included in the metadata so that anyone can make connections, for example, to identify which funders invest in certain fields of research. Funding data is also used by funders to track the publications that result from their grants.

Is machine readable information on the licence and open access status embedded in the article available in standard non-proprietary format?

Machine-readable information refers to data that is in a suitable format that can be processed by a computer. In the context at hand, this information would enable a computer to automatically determine the licence attributed to an article as well as the open access status.

Does the repository have continuous availability?

Repositories should minimise unscheduled downtime as much as possible. They should aim towards at least 99.7% uptime which equates to an approximate maximum of 27 hours unscheduled service outage per year. This does not include scheduled downtime for maintenance and upgrades.

Does your repository have a helpdesk?

Repositories must provide a channel for depositors and other users to submit queries. cOAlition S does not specify what format of contact is adopted as the repository should identify the most suitable channel for their workflows and resource. A helpdesk could constitute an email address, a telephone number, an online contact form, a ticket management system, and so on. The initial response to a query, should be sent no more than one business day from receipt. This response may comprise an automated holding note that gives an indication of when the enquirer can expect to receive a more fulsome response.

What happens if my repository does not meet the Plan S criteria?

The above guidance is intended to help you work towards meeting the requirements over time. If you are unable to meet a requirement, cOAlition S encourages you to find a suitable solution that is possible within the remit of the resource available to you.

Can we use the guidance to assess our CRIS?

Yes. If you use the CRIS as a repository and it provides open access to full-text items, then it is an eligible candidate for assessment.