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Policy Support

Repositories play a key role in the publication lifecycle. They provide a stable platform for research outputs and are often referenced on funders' open access policies. Having a clear understanding of how repository content should be treated promotes effective usage enabling repository staff, authors, data harvesters, and the wider academic community to get the most out of repositories.

What should be covered?

Clear policy information encourages a standardised level of service, it sets users' expectations and helps increase impact and visibility of research. We have identified five core policy areas that satisfy best practice for open access compliance:

  • Metadata Policy stating the access rights and permissions for information describing items in the repository, and the minimum metadata requirements.
  • Data Policy stating the access rights and (re-)use permissions for full-text and other full data items.
  • Content Policy stating the types and versions of documents and datasets held.
  • Submission Policy concerning eligible depositors, quality control and copyright statements.
  • Preservation Policy concerning the long-term retention, migration, and withdrawal protocols.

Repository policy statements

To help you, we have developed two general policy statements based on industry standards to encourage good practice across the community. The policy statements are available in different formats for inclusion on your repository website or documentation.

Open access repository policy (minimum recommended)

This is the recommended option for minimum open access compliance. It encourages open access yet holds restrictions, such as allowing re-use of metadata for not-for-profit purposes, but prohibits commercial re-use.

  • Metadata policy (for information describing items in the repository)
    • Anyone may access the metadata free of charge.
    • The metadata may be re-used in any medium without prior permission for not-for-profit purposes provided the OAI Identifier or a link to the original metadata record are given.
    • The metadata must not be re-used in any medium for commercial purposes without formal permission.
  • Data policy (for full-text and other full data items)
    • Anyone may access full items free of charge.
    • Single copies of full items can be reproduced and displayed or performed in any format or medium for personal research or study, educational, or not-for-profit purposes without prior permission or charge.
    • Full items must not be sold commercially in any format or medium without formal permission of the copyright holders.
  • Content policy (for document types and datasets)
    • This is an institutional or departmental repository OR Multi-institution subject-based repository [list subjects]:
    • The repository holds all types of items OR The repository only permits the following item types [list]
    • All items are individually tagged with their peer-review status and publication status.
  • Submission policy (concerning depositors, quality and copyright)
    • Items may only be deposited by accredited members of the organisation, or their delegated agents.
    • Authors may only submit their own work for archiving.
    • The administrator only vets items for the exclusion of spam
    • The validity and authenticity of the content of submissions is the sole responsibility of the depositor.
    • Items may not be deposited until any publishers' or funders' embargo period has expired.
    • Any copyright violations are entirely the responsibility of the authors/depositors.
    • If the repository receives proof of copyright violation, the relevant item will be removed immediately.
  • Preservation policy
    • Items will be retained indefinitely.
    • The repository will try to ensure continued readability and accessibility.
    • The repository regularly backs up its files according to current best practice.
    • Items may not normally be removed from the repository.
    • Acceptable reasons for withdrawal include:
      • Proven copyright violation or plagiarism
      • Legal requirements and proven violations
      • National Security
      • Falsified research
    • Withdrawn items are not deleted per se but are removed from public view.
    • Withdrawn items' identifiers/URLs are retained indefinitely.
    • URLs will continue to point to 'tombstone' citations, to avoid broken links and to retain item histories.
    • Changes to deposited items are not permitted.
    • If necessary, an updated version may be deposited.
    • In the event of the repository being closed down, the database will be transferred to another appropriate archive.

Open access repository policy (optimum recommended)

This is the recommended option for optimum open access compliance. It encourages unrestricted open access, such as allowing free commercial re-use which offers the listed material extra exposure.

  • Metadata policy (for information describing items in the repository)
    • Anyone may access the metadata free of charge.
    • The metadata may be re-used in any medium without prior permission for not-for-profit purposes and re-sold commercially provided the OAI Identifier or a link to the original metadata record are given.
  • Data policy (for full-text and other full data items)
    • Anyone may access full items free of charge.
    • Copies of full items generally can be: reproduced, displayed or performed, and given to third parties in any format or medium for personal research or study, educational, or not-for-profit purposes without prior permission or charge, provided:
      • the authors, title and full bibliographic details are given
      • a hyperlink and/or URL are given for the original metadata page
      • the content is not changed in any way
      • full items must not be sold commercially in any format or medium without formal permission of the copyright holders.
  • Content policy (for document types and datasets)
    • This is an institutional or departmental repository OR multi-institution subject-based repository [list subjects]:
    • The repository holds all types of items OR the repository only permits the following item types [list]
    • Items are individually tagged with their version type and date; their peer-review status; and their publication status.
  • Submission policy (concerning depositors, quality & copyright)
    • Items may only be deposited by accredited members of the organisation, or their delegated agents.
    • Authors may only submit their own work for archiving.
    • The administrator only vets items for the eligibility of authors/depositors, relevance to the scope of the repository, valid layout & format, and the exclusion of spam.
    • The validity and authenticity of the content of submissions is the sole responsibility of the depositor.
    • Items can be deposited at any time but will not be made publicly visible until any publishers' or funders' embargo period has expired.
    • Any copyright violations are entirely the responsibility of the authors/depositors.
    • If the repository receives proof of copyright violation, the relevant item will be removed immediately.
  • Preservation policy
    • Items will be retained indefinitely.
    • The repository will try to ensure continued readability and accessibility.
    • Items will be migrated to new file formats where necessary.
    • Where possible, software emulations will be provided to access un-migrated formats.
    • The repository regularly backs up its files according to current best practice.
    • The original bit stream is retained for all items, in addition to any upgraded formats.
    • Items may not normally be removed from the repository.
    • Acceptable reasons for withdrawal include:
      • Proven copyright violation or plagiarism
      • Legal requirements and proven violations
      • National Security
      • Falsified research
    • Withdrawn items are not deleted per se but are removed from public view.
    • Withdrawn items' identifiers/URLs are retained indefinitely.
    • URLs will continue to point to 'tombstone' citations, to avoid broken links and to retain item histories.
    • Changes to deposited items are not permitted.
    • Errata and corrigenda lists may be included with the original record if required.
    • If necessary, an updated version may be deposited.
    • In the event of the repository being closed down, the database will be transferred to another appropriate archive.

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