CIRcle COVID19 Research Recruitment

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COVID-19 Research cIRcle Submissions Workflow

This is a user guide to help UBC Librarians and Staff partnering with cIRcle to identify, request, and deposit faculty- or researcher-authored scholarly materials relevant to COVID-19 in cIRcle, UBC's digital repository. This is a pilot workflow with the aim of enlisting Staff from across Library branches to participate. Request to participate in this initiative or to make changes to the workflow must be reviewed and approved by Tara Stephens-Kyte, Digital Repository Librarian at cIRcle.

Questions regarding permissions, metadata, and deposit in cIRcle should be sent to the cIRcle listserv.

How to Use This Wiki

This user guide is a step-by-step workflow to provide open access to articles of relevance to COVID-19 authored by UBC faculty/researchers.

Follow the steps to:

  1. Select materials for COVID-19 according to the listed criteria;
  2. Set up an automatic search alert notification for new content;
  3. Check copyright permissions;
  4. Request author permissions;
  5. Submit the article and completed cIRcle Non-exclusive Distribution License to the cIRcle Specialist for Deposit;
  6. Send notifications to author when submission is complete;
  7. Maintain COVID-19 Research cIRcle Content Recruitment tracking spreadsheet.

Roles and Responsibilities

cIRcle Project Lead

Coordinates with participating Librarians and Staff to ensure clear and consistent expectations, workflows, and deliverables. Where a Subject expert Liaison Librarian is not designated as supervisor, the cIRcle Project Lead oversees the work of participating Staff to ensure deliverables are met and processes are executed accurately. This position is held by Tara Stephens-Kyte, Digital Repository Librarian.

COVID-19 Content Recruiter

Identifies suitable content for inclusion in cIRcle based on established selection criteria and self-archiving permissions, requests permissions from content authors and sends notifications of archived content, and ensures self-archiving conditions are met. Works closely with the cIRcle Project Lead to coordinate deposit of materials and maintains cIRcle COVID-19 workflow documentation in consultation with the cIRcle Project Lead. Maintains clear and consistent communication with the cIRcle Specialist to deliver content and cIRcle licenses for deposit. This position is held by Patricia Foster at Woodward Library and Sasha Krieger at Koerner Library. cIRcle is looking for additional partners across the Library to perform this role in other branches.

cIRcle Submitter and License Management Coordinator

The cIRcle Specialist is responsible for liaising with COVID-19 Content Recruiters to ensure all items uploaded to cIRcle have an accompanying cIRcle Non-Exclusive Distribution License. This position is held by Kelly Gauvin, cIRcle Digital Library Specialist.

The COVID-19 Content Recruiter sends completed cIRcle licenses and content to the cIRcle Specialist for deposit. The cIRcle office archives licenses for materials in DSpace.

cIRcle Digital Repository Assistant

Under the guidance and direction of the cIRcle Specialist, the cIRcle Digital Repository Assistant submits content for this project as assigned.

Selecting COVID-19 Scholarly Materials for Deposit in cIRcle: Our Criteria

Representational Output

Assess whether the material is representative of the goals of the COVID-19 Research Content Recruitment project.

  • A significant portion of the item must be “about” COVID-19: To begin, focus on Researchers and topics identified by UBC https://covid19.research.ubc.ca/ It can be strategic to request multiple articles from authors currently researching COVID-19 if those publications relate to the topics addressed in their current COVID-19 Research (e.g. infectious diseases; virology, etc.). Focus your requests on faculty in liaison areas supported by your Library to avoid overlap with other branch libraries undertaking similar work.
  • Eligible for open access archiving: For scholarly articles, follow publisher guidelines to determine which version (pre-print, post-print, or publisher’s version) is acceptable for archiving in university repositories. If no version is allowed, or if we cannot obtain the required version, we cannot deposit the article to cIRcle. Please note that authors often require coaching to identify appropriate versions of articles as terminology differs across publishers.
  • Not already in cIRcle: Theses and articles from BioMed Central and MDPI are already added to cIRcle. Some authors also send deposit requests to cIRcle. Be sure to check cIRcle regularly to ensure you do not request an item that has already been archived.

Timeliness

  • Scope content recruitment to materials published in 2020: Most COVID19 related research will have been published in 2020. If requesting articles in COVID-19 related research areas, cIRcle recommends targeting materials published in the past three years to ensure greater success in obtaining post-print copies from authors (see the Checking Copyright Permissions header below to learn more about post-prints).

UBC Affiliations

  • Scope to UBC Faculty: At least one author must have been affiliated with UBC at the time of publication. You may also wish to check to see if the author is already in the cIRcle repository. If so, you can include this detail in your communications and supply a URI so they can review the item. This helps develop legitimacy of and familiarity with cIRcle, and can be an added incentive for faculty wishing to centralized access to their publications.

Setting Up Search Alerts

A search alert is a search string crafted for a specific database that, once saved, will e-mail an alert when new content meeting the criteria is added to that database. This step will describe generally how to pick databases, craft a search string, and set up a search alert.

Selecting Databases

Select databases relevant to subject fields you want to target. You may want to focus on journals that have published a lot of UBC faculty work over the past few years. You might also want to consider focusing on journals that you know have good open access policies. For more information, see Checking Copyright Permissions. You can check Scientific Journal Rankings for journal ideas to narrow your search. We recommend looking in at least two large databases; however, include as many databases as are necessary to cover the field in question.

Crafting a Search String

Create a search string using the search box in your selected database. Make a search string that returns relevant content by UBC faculty contributors within your subject area (in this case, "COVID-19" and "coronavirus" would be two standard terms). Narrow this by applying an affiliation parameter and/or a proximity operator to the string, if possible. The parameters and operators are often database specific and will likely be defined by the database. Suggested comprehensive search strings for COVID-19 in the health sciences can be found here.

Further target the search by combining an affiliation search with subject specific terms relevant to the field you wish to search. Many databases have their own specific terms to narrow results. This search will return a smaller number of items relevant to your subject.

Setting up Alerts

When satisfied with the amount of relevant results returned in the search string, save the search and/or set up a search alert. The terminology is often database specific, but a link or icon saying "save search" or "create search alert" is usually found in the header or sidebar of the page. Follow instructions to create or log in to an account. Make sure to use your UBC e-mail address when creating your account. Most databases have a “frequency” setting for search alerts. This will set up e-mail alerts for any new results on a query at a specific time. It is recommended you set the frequency alerts to once per week.

Tip

Tip: Revisit this step every 3 to 6 months. Tweak the searches and databases. Have an up-to-date search string and search fields to help you manage your workload and improve search result content.

Saving Citations

The COVID-19 Research Content Recruiter uses the cIRcle COVID-19 Research Recruitment and Submissions to track citations and the status of requested materials. The COVID-19 Content Recruiter saves citations for viable candidate articles using the appropriate columns in the article tracking spreadsheet.

Tracking Sheet Citation Fields

  • Entries in the tracking spreadsheet are arranged from A-Z by first author's last name (refer to the Author column). Follow this alphabetical order when adding new rows for article entries. (Be sure to turn off any viewing filters you've applied before adding entries.)
  • In the Status column, enter the words Action required. This will color-code the row white, indicating that this entry is pending action.
  • In the Author column:
    • Render a single author like this: [Last name], [First name].
    • Render two authors like this: [Last name], [First name] and [Last name], [First name].
    • Render more than two author names like this: [First author last name], [First author first name]; [Second author last name], [Second author first name]; [Third author last name], [Third author first name]... and so on.
  • In the Contact Information column, include the first name, last name, and valid e-mail address of an item's author. Sometimes, journal article DOIs will supply a preferred author contact (look for an envelope icon next to their name).
  • In the Title column, supply the complete title of the item.
  • In the Citation column, use the citation method you are comfortable with. (To date, APA style is most frequently used within this spreadsheet.) cIRcle is citation-agnostic, meaning it can work across multiple methods. However, be sure to format correctly according to your selected style's guidelines.
  • Supply the digital object identifier for the publisher's version of the article in the Publisher DOI column.

Stop there for now. You will use the remaining fields once you are ready to make contact with the item's author.

Checking Copyright Permissions

cIRcle's primary resource for discovering and understanding publisher self-archiving policies is SHERPA/RoMEO. SHERPA/RoMEO has a user's guide detailing how to interpret OA pathway policies from their database. Other similar tools include unpaywall.org and shareyourpaper.org, and are detailed below. Visit the Adding Faculty Publications to cIRcle wiki for detailed instructions on how to identify and interpret these policies. unpaywall.org is an excellent tool for doing batch permissions checking when you have multiple DOIs. shareyourpaper.org is another emerging tool worth investigating.

Understanding Article Versions

Copyrighted versions of scholarly articles are generally divided into three categories: the publisher's version, the post-print version, and the the pre-print version.

  • Publisher's versions are the editions of articles that have undergone final text correction and layout.
  • Post-prints have not yet undergone the publisher's final correction and layout. They have, however, passed the peer-review phase and have been edited by the author to reflect reviewers' commentary.
  • Pre-prints are versions initially sent to the journal. These versions have not been subject to peer review.

For more detailed information on article versions, refer to Adding Faculty Publications to cIRcle wiki or the Author's Guide to Self-Archiving

Making Decisions Based on Copyright Permissions

It is easiest to target journals that allow archiving of the publisher versions. The publisher version of the article will likely be available for download from a database or the journal's website. The author would only need to complete the cIRcle Non-Exclusive Distribution License form to have their content added to cIRcle. [NB: This license is scheduled to be updated to 3.0 in November 2021. Please ensure you are using the most up to date version of the license from the cIRcle website particularly if you are using the PDF version of the license]

However, most academic journals only permit the archiving of a pre-print or post-print version of the article. These versions must be acquired from the author. If the author is submitting in order to comply with the Tri-Agency Open Access Policy on Publications, only publisher version and post-print copies are acceptable.

An embargo is a period of time after an article's publication in which the publisher restricts the article's access to paying individuals or institutions. If an article is currently under embargo, it can still be archived to cIRcle, but access to the article on the repository will be restricted until the embargo end date. Interested parties must make a special request to cIRcle in order to access the embargoed article.

Using SHERPA/RoMEO

An example of a SHERPA/RoMEO entry - Journal of Substance Abuse
An example of a SHERPA/RoMEO entry - Journal of Substance Abuse

Search for the specific journal in SHERPA/RoMEO and read over the table of copyright permissions to determine which article version (author's pre-print, author's post-print or publisher's version/PDF) is permissible for archiving by the author. For example, according to the image at right, the author can archive the pre-print or the post-print (as shown by the green checkmarks) but not the publisher's version/PDF (as shown by the red X).

Read the General Conditions section to check for any conditions attached to the permissions. Pay special attention to any conditions mentioning an embargo or a citation or version statement. In this context, a citation is an acknowledgement of the original publishing journal when its articles are uploaded to a repository. The journal in the screenshot to the right, Journal of Substance Use, requires that the published source be acknowledged and that a link to the publisher version be included. SHERPA/RoMEO also specifies that Journal of Substance Use has an embargo period of 12 months.

Sometimes conditional details (especially embargo periods) are not always clear or up to date on SHERPA/RoMEO. If this is the case, check the guidelines on the journal's webpage. These guidelines can be tricky to find, because publishers call their guidelines different things and put them in different places. For example, the best way to confirm embargo periods for Elsevier journals is to go to the landing page of the journal in question (like this one) and download the "Author Information Pack" PDF under the Guide for Authors tab.

If the journal is not available in SHERPA/RoMEO and the journal does not have a self-archiving policy posted, contact the journal editor for more information. If you need assistance with this step, please contact the cIRcle Project Lead.

Using shareyourpaper.org

You can search permissions for single or bulk items using DOI in shareyourpaper.org. This tool harvests permissions metadata from various sources including cross-ref, unpaywall.org and Microsoft Academic, publisher-self-archiving policies and institutional open access policies (this information is updated daily). The paper and policy statement will also include embargo length from date of publication, and which format version can be archived as per the publisher/institution policy. It's primary use is for researchers to deposit in Zenodo, the repository developed by OpenAire. For the purposes of this project, this tool is most useful for checking permissions from non-open access journals.

You can do one at a time manual queries or upload the bulk checker. The bulk checker operates from a google spreadsheet. You will need to create a google account, if you don't already have one. It is recommended that you use your UBC email staff account.

Register your email in the Google spreadsheet once you're set up to receive updates and get your feedback. You will need to indicate UBC as the institution, so that they can take our institutional policy into account when searching for the author. UBC's ROR ID is https://ror.org/03rmrcq20." To find permissions info for (many) individual articles, go to 'Article Permissions Checker' and put whatever you're searching for in column 'A'. Once you've generated results, copy them all and paste as values. This will stop them regenerating periodically (including when you open the sheet)." (from: https://docs.google.com/spreadsheets/d/1zoNyndkJ7sXy-MvjKyLRmjo2-q7lmCyhjDZvvqam3C0/copy)

Using unpaywall.org

Unpaywall is a service which harvests links to full-text open-access academic articles from a comprehensive variety of sources world-wide. This may include institutional repositories from universities, academic associations and government websites. Some of the open content includes author-archived open access (usually post or pre-prints) as well as articles indexed in the DOAJ, Directory of Open Access Journals. There is a Firefox browser extension that notifies users when an article is open access and freely available.

Unpaywall sourced open access articles now appear in UBC Summon as "OpenVersion". This means that any user group (UBC, UBC alumni & community users) may access the article without a CWL (Campus Wide Login). Because of OA permissions for manuscript versions the linked version may not be the final published version.

Unpaywall is integrated into Web of Science, Dimensions and Scopus (UBC doesn't currently subscribe to) as a means to enhance discoverability. Web of Science only links to peer-reviewed versions from open repositories and prefers links to publisher's version but if not available to accepted versions.

The unpaywall.org Simple Query Tool can check on the open access status of 10,000 DOIs at once. This browser tool, will email a CSV file of the results ; however, you may need to consult the schema to interpret the results. Caveat is that the article titles and authors are not necessarily captured in the CSV/Excel file. From the website" The best OA Location Object we could find for this DOI. The "best" location is determined using an algorithm that prioritizes publisher-hosted content first (eg Hybrid or Gold), then prioritizes versions closer to the version of record (PublishedVersion over AcceptedVersion), then more authoritative repositories (PubMed Central over CiteSeerX)."

Requesting Author Permissions

Give your e-mail a descriptive subject line. Begin your request by briefly describing the initiative and what cIRcle aims to do. Once you've given the recipient some context, move on to the article request. If you are requesting more than one article from the same faculty author, send only one e-mail with a numbered list of all the relevant articles. For each article, include a full citation and a description of the publisher's stipulations for archiving the article (e.g. the permitted version, embargo period, date of embargo expiry if applicable).

After listing the articles, provide the corresponding author clear instructions on how to proceed. Attach the pre-populated PDF cIRcle License and provide instructions for completing the form and sending it to you. Use the following file naming convention

  • LastName_FirstInitial_1-2Identifying_words_from_title_cIRcleLicense_YYYY
  • Multiple authors: LastName_FirstInitial_et_al_cIRcleLicense_1-2_Identifying_words_from_title_YYYY

For articles you can apply the cIRcle File Naming convention here

At least one co-author must fill out the license form online for the article to be uploaded to the repository. It is expected that the author signing the cIRcle License will make co-authors aware of their agreement to archive the article in cIRcle. The author who fills out the form assumes license permissions responsibility on behalf of all co-authors.

Version: Ideally there is some indication on the document of the version type. In some cases, publishers, such as Wiley, will require a version statement to be included on the title page. Best practice is to encourage authors to add these even if a publisher doesn't require it. You can also do this on behalf of the author if you sense the added step might deter them from submitting. Here's a template for a version statement you can recommend or apply:

"This is the [preprint/postprint] peer reviewed version of the following article: [FULL CITE], which has been published in final form at [Link to final article using the DOI]."

Style Guide: For consistency, please use Calibri font, size 11 and Canadian spelling ..

Author Permission Request E-Mail Template

Dear [researcher’s name],

I am writing on behalf of cIRcle at the University of British Columbia Library to invite you to archive an article of yours to cIRcle, UBC’s open access digital repository. We aim to provide the UBC and global community with easier access to timely, original research about or related to COVID-19. We are also interested in helping make research more accessible to the public for future generations.

The article[s] we are inquiring about are:

  1. [Article 1 citation] - [journal name – include link to SHERPA/RoMEO entry] permits archival of an article’s [version type] version in an institutional repository [after a[n] XX month embargo (your article’s embargo lapsed [date of embargo expiry])]
  2. [Article 2 citation] - [journal name – include link to SHERPA/RoMEO entry] permits archival of an article’s [version type] version in an institutional repository [after a[n] XX month embargo (your article’s embargo lapsed [date of embargo expiry])].
  3. [Article 3 citation] - [journal name – include link to SHERPA/RoMEO entry] permits archival of an article’s [version type] version in an institutional repository [after a[n] XX month embargo (your article’s embargo lapsed [date of embargo expiry])].

If you are interested in archiving your articles into cIRcle:

Please take a few minutes to complete the cIRcle non-Exclusive Distribution License form. [I have included all requested articles in the attached license form]

  • E-mail copies of the appropriate version[s] of your article[s] to me at [your ubc email address] with the filled in license form for the articles.
  • Once your content is uploaded to cIRcle, I will send you persistent links for each item.

If you have any other published research that is relevant to COVID-19 or you are interested in archiving, please do not hesitate to contact me. Thank you in advance for helping to share your research with the world via cIRcle.

Regards,

[signature]

Tip

Tip: If the author does not properly complete the license or sends an incorrect version, you will need to follow up and provide clearer instructions. If an author uses the Item Submission form for an embargoed article, please notify the cIRcle office immediately to request the file be deleted.

Updating the Tracking Document to Reflect a New Permission Request

  • For a given article entry, change the text in the Status column (Column A) to read "In Progress." Per the document's conditional formatting, the row should turn yellow.
  • In the Embargo column (Column I), record whether or not the article has an embargo date with "Y" or "N." (Use "Y" even if the embargo date has passed.) In parentheses, note the end date of the embargo. This can usually be determined by adding the embargo time period to the article's published date (For example, if an article was published on August 13, 2020 and had a 6-month embargo, the embargo end date would be February 13, 2021).
  • In the Permitted Version column (Column J), record the most preferred version available to us for archival. Generally, the publisher's version > post-print version > pre-print version.
  • In the Date Contacted column (Column K), note the date you first contacted the author. Use DD/MM/YYYY format.
  • In the Communication Notes column (Column L), include a very brief summary of your correspondence status, along with a date. Update this as your correspondence progresses. (CTRL+Enter makes a new line inside the cell.)
  • In the License Received column (Column M), note whether or not you have received a license form from the author with a "Yes" or a "No." It is likely that you will start out with a "No" and change it to a "Yes" after the license comes in.

Following Up With Authors

If the author does not respond to the initial e-mail after 2-3 weeks, the COVID-19 Content Recruiter should follow up the request with a brief check-in. Reply to your own initial request with a follow-up e-mail:

Dear [researcher name],

Hello again, my name is [name] from UBC Library. I am writing to follow up on my prior request to archive your article[s] on COVID-19 in cIRcle. I've included my original message with the requested article[s] below.

If you are interested in archiving your articles into cIRcle:

1. Please take a few minutes to complete the attached cIRcle non-Exclusive Distribution License form.

2. E-mail copies of the appropriate version[s] of your article[s] to [your email address].

As always, please do not hesitate to contact me if you wish to contribute more research to this initiative, or if you have any further questions/concerns. Thank you in advance for helping to make your research more visible to the world via cIRcle.

Best,

[signature]

If the author does not respond to the follow-up within another 2-4 weeks, mark the item(s) as Unsuccessful in the Status column of the Tracking Sheet and make a note in Communication Notes that the COVID-19 Content Recruiter received no response.

Archived Submission Notification to Authors

Dear [Researcher]

Thank you for submitting your publication[s] to cIRcle.

The submission[s] has/ve been archived in cIRcle and has/ve been assigned the following persistent link[s].

Title : [Submission Title[s]]

Item URI : [Always use the cIRcle handle e.g. http://hdl.handle.net/2429/76222]

Please allow 24 hours for the link to resolve. You can view the Usage Statistics of your item over time by scrolling down to the menu in the record.

Thank you for sharing your work in cIRcle. Please let me know if you have any questions or requests.

Best,

[signature]

Submitting Content to cIRcle

The Submission Process

  • Check that the relevant metadata is captured in the body of the cIRcle License (where applicalbe) (e.g., citation, publisher DOI, embargo dates, content version, etc.).
  • Ensure you have the publisher permitted version and any rights statements are included on the file (See for example Wiley's version statement)
  • Email the content and a completed cIRcle license or Creative Commons License terms to the cIRcle list serve circle.repository[at]ubc.ca . Sending the submission to the cIRcle list serve ensures the submission is tracked in the cIRcle JIRA ticketing system and ensures that any member of the cIRcle office will see the request in the event project leads are absent.
  • The cIRcle Specialist submits the content according to the cIRcle Submitter Guidelines (internal documentation) and the cIRcle Metadata Manual.
  • The cIRcle Specialist notifies the COVID-19 Content Recruiter by e-mail once the content is available in cIRcle (see template message below for reference). The notification will include the persistent link (URI) for the content which you may forward to the content provider.
  • Notify the content creator that the work is available in cIRcle and update the article tracking spreadsheet.

Consult the checklist at the bottom of this page to ensure you've completed all the steps in the workflow.

Submission Confirmation E-mail Template

Dear [COVID-19 Content Recruiter], I'm writing to confirm that the submission [title] by [author name] has been archived and is available in cIRcle via Open Collections: [URI Link]. [Please note that an embargo period has been applied in accordance with the publisher's self-archiving policies.] Please let me know if you have any questions. Thank you, [cIRcle Specialist]

Updating the Tracking Spreadsheet

Once the URI has been received, the COVID-19 Content Recruiter updates the tracking spreadsheet:

  • Change the article's Status (Column A) to "Archived."
  • In the Communication Notes field (Column L), make a final dated entry confirming the article has been archived in cIRcle.
  • Copy and paste the cIRcle URI to Column N.

Tip

Tip: FYI, Faculty, Researcher and Postdoctoral articles are added to the Faculty Research and Publications collection. In special cases where a work by a Non UBC affiliate has been recruited, the article is added to the UBC Community, Partners, and Alumni Publications collection.

Checklist

Checklist
   Yes/No    Does the article meet repository Material Criteria?
       Which version of the article is permissible to submit?
   Yes/No    Do you have access to it?
   Yes/No    Does the article version require any special permissions?
            If yes, what are they? (hint: Does it have an embargo? Does it need to include a version statement?)
   Yes/No    Do you have a copy of the cIRcle Non-Exclusive Distribution License form completed by the author or confirmed the CC License?
   Yes/No    Have you forwarded a copy of the article and permissions to the cIRcle Specialist at circle.repository[at]ubc.ca?
   Yes/No    If the article has been archived, have you notified the author and updated the cIRcle COVID-19 Research Recruitment and Submissions tracking spreadsheet?

Assessment Criteria

[For discussion] Measures of success for this project:

  • Rate of return: Number of articles deposited
  • Usage Statistics: Amount of view/download traffic for articles deposited
  • Relationship-building: Authors submit other work; provide positive feedback
  • Scalability: Other Library branches participate and successfully execute the workflow