The overall aim for this project is To improve the way that the University currently manages its research publications data

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1 Project Plan Overview of Project 1. Background The I-WIRE project will develop a workflow and toolset, integrated into a portal environment, for the submission, indexing, and re-purposing of research outputs in Cardiff University s Institutional Repository (ORCA). This will be based on the requirements gathered from academic Schools and administrative Directorates in the University. Cardiff University recently completed a project to upgrade its pilot Institutional Repository and relaunch it as ORCA - Online Cardiff; a fully supported service containing, amongst other things, all the University s 2007 RAE publication data. Prior to this, and despite an extensive advocacy campaign, the institutional repository has largely depended on a mediated deposit process using members of staff from the University Library s Cataloguing Team. Cataloguers have added most of the items and created metadata from publication lists. To carry on in this way would be unsustainable. In April 2008, The Advocacy Project Report listed several recommendations, to encourage author self deposit and initiate discussion on the technical aspects of integration of Cardiff EPrints and the MWE (Modern Working Environment) and bring forward specific proposals. Implementing changes to the procedure has now been identified as a strategic priority. In October 2008 the University s Research Committee considered a paper Research Communications; current trends and opportunities, written by the University Librarian. The outcome was that the Committee Resolved that subject to detailed consideration as to the means by which staff up-load data to the repository, to mandate all new publications to be included in Cardiff s institutional repository. Plans were also approved for a parallel project to consider ways to include in the repository all retrospective references from a cut-off date to be determined, to create a central database of references to all recent Cardiff publications. The I-WIRE project was established to look at ways to streamline the deposit process by developing a comprehensive submissions workflow that minimizes effort and simultaneously ensures capture of all required information without duplication of effort. A user friendly workflow and other value added services will encourage author self deposit of new publication data. The project also aims to place the process of depositing material in the institutional repository at the heart of the business processes being carried out through the research portal, so that deposit becomes an integrated part of a more general administrative, research or learning workflow. There is also an increasing need for the University to create and maintain an up to date, central publications database in preparation for the REF 2. Aims and Objectives The overall aim for this project is To improve the way that the University currently manages its research publications data To review how all Schools and authors currently manage their research publication data in order to design a process and submissions workflow that best meets their needs. The new process will be based on the outcomes of a well researched review of how the University currently manages its research publications data. Different stakeholder needs will be identified which will enable the University to take a more holistic and strategic approach in developing the institutional repository as the University s central database for research output. Page 1 of 11

2 Supported by the following objectives 1. To enhance the functionality of the institutional repository, ORCA, and promote it as the University s central database of research output and facilitate the use and reuse of its content in a variety of contexts. To develop a University-wide publications database that would apply more consistent metadata formats for future REF data requirements, and enable the data to be reused and repurposed to support the range of processes used in different stages of the research lifecycle 2. To encourages user deposits and enhance the user experience. By designing and developing a submissions workflow that meets user needs. A streamlined, user-friendly submissions and metadata creation workflow designed in consultation with users will encourage authors and other users to deposit more items in the institutional repository in the future. 3. To deliver and implement a toolset that supports process improvements. To design and develop an electronic toolset based on user requirements, and place it with other business processes carried out through the MWE research portal. 4. To ensure that any lessons learned are disseminated effectively. To produce a toolset and guidance on repositories and deposit workflows that can be passed on the wider HE community, e.g. through the Welsh Repositories Network and Repositories Support Project 3. Overall Approach During the planning and preliminary stages it became apparent that the most effective way to achieve these objectives would be to divide the overall approach to the project into 3 phases to enable more accurate planning and availability and use of resources. Phase 1 The User Requirements Analysis We intend to take a service orientated approach, so at the start of the project members of the project team in partnership with subject librarians will undertake a detailed review of how all Schools and authors currently manage their research publication data, in order to design and implement a technical solution that best meets their needs. We are already aware of some of these needs, e.g. the University needs a central publications database, research administrators and authors need time-saving, value added services one input, many outputs, and good citation metadata for populating research grant applications, CVs, and keeping web pages up to date. However, until we know exactly what new functions and processes we are going to design for our users we can t finalise the full technical requirements and dependencies. We need to collate and approve the outcomes from the user requirements analysis before moving on to the technical requirements specifications. For this phase of the project we need to Identify and speak to a representation of all key stakeholders and users, e.g. academic authors/researchers, research administrators from all Schools within the University, and administrators in support directorates who might have a need to seamlessly link to research publications data (Human Resources, Planning, Research and Commercial Division} Design a semi structured questionnaire and a list of key messages to be referred to during the interview sessions to ensure a consistent approach. Explore other more time-efficient methods if necessary e.g. use of focus groups, user stories and mock ups Begin the interview process with our partners in the project, the Schools of Engineering and Medicine before refining the questionnaire and interview approach and rolling out the process across other Schools and Directorates with the help of our team of subject librarians. Produce a requirements document to take forward to Phase 2 The Workflow Design, and Phase 3 the Technical Development phases. Page 2 of 11

3 This consultation should be an iterative process to be repeated later in the project and before final designs are approved at the end of Phase 2. Phases 2 and 3 will complete the Project - designing and delivering a toolset that supports user-centred process improvements. Phase 2 - The Workflow Design We expect this phase to have a period of overlap with the conclusion of Phase 1, where the technical design team become involved in analysing some of the key requirements that are coming from the requirements gathering process, in order to gain an early insight into what they need to design and build. Most of the effort for this phase will come from the technical team who should also by this time be able to call upon the experience and expertise they will have gained from working on similar process and integration features for the University s JISC funded PALET Project. Phase 3 - Technical Development Again most of the effort for this phase will come from the technical team to produce the tools and functionality to support key stages in the improved process. The tools will be set up and tested before being piloted and tested with our partners in the project, the Schools of Engineering and Medicine. Appropriate modifications and further iterations will be carried out and tested with other stakeholders (time allowing). Rollout of the full service will be planned and implemented. These 2 phases will be developed further once we have confirmed the outcomes and priorities from the user requirements analysis phase. 4. Project Outputs The main output of the project will be the electronic toolset developed to support key stages in the improved process. This will be delivered through the University s Modern Working Environment (MWE) project as part of the partnership the University has with IBM. It will be built using Open Standards. All project outputs will be available to the UK er Education community. Other outputs from the project are listed below: Stakeholder and user requirements analysis report Other project reports Project Website and Blog New improved workflow and enhanced repository functionality 5. Project Outcomes A range of outcomes are expected to develop from the project which will be of value to the wider HE community as well as the host institution. A case study of our innovative work in this area will be informative to other institutions in the HE community which are investigating means of integrating their institutional repositories in research management processes, and it will also seek to inform the good practice and process models that are being developed within the JISC e-framework Programme. Others include: Page 3 of 11

4 Improved understanding in the JISC community of how Lean Thinking methodology can be utilised to improve university business processes; Improved understanding of how a service orientated approach and user engagement can have a positive effect on the final outcomes for IT Projects; Specifically at Cardiff it will: Develop and promote the role of the Institutional Repository as the University s central publications database to be used to support a number of internal administrative requirements and projects as well as for the future REF; Contribute to the ongoing evaluation of the tools being made available in version 2.0 of the MWE; Provide us with the opportunity for wider community engagement with others attempting this kind of approach. 6. Stakeholder Analysis The I-WIRE Project is a University wide initiative that will involve a wide range of stakeholders, particularly staff in Information Services and the academic schools. Internal Stakeholders Interest / stake Importance Research Committee Instigators of the projects aim to produce a streamlined workflow and deposit process. The committee have resolved to introduce a mandate that all new publications be added to the IR subject to detailed consideration as to the means by which staff up-load data to the repository Research PSIG (Portal Service Implementation Group) MWE IT Programme Information Services Directorate (INSRV) Schools Research Administrators Schools Academic Staff Policy and process owner who will receive, discuss and be requested to endorse the redesigned process Project Steering Group has prime responsibility for quality assurance. Lead Directorate for the Project. Runs and supports the Institutional repository, ORCA and responsible for the design and technical developments for the toolset to support the redesigned processes for adding and using publication data. Contributors and users of the IR and its redesigned processes for adding and using publication data Contributors and users of the IR and its redesigned Very Page 4 of 11

5 Other Support Directorates processes for adding and using publication data. Human Resources Directorate Plans to integrate with HR systems. Planning Directorate To coordinate data requirements for REF. JISC External Stakeholders Other Projects in the Information Environment Programme HE Community and other Repository Support Networks (WRN, RSP) Project (and programme) sponsor, interested in value for money and the wide dissemination of the project and programme outcomes. Interest in the tools, approaches and resources developed by the project and in sharing findings, engaging in discussion, and developing a shared understanding of relevant issues. Likely to be interested in any outcomes from the project that are transferable. Medium 7. Risk Analysis Risk Staffing Failure to recruit key project staff Loss of project manager or other key members of project staff Organisational Unrealistic expectations of the project s outcomes Delays in getting agreement on improved business process Lack of engagement from the key stakeholders or from the wider academic community Technical Probability (1-5) Severity (1-5) Score (P x S) Action to Prevent/Manage Risk Accept that deliverables may potentially be delayed in the short term, and re-allocate tasks to existing staff Ensure knowledge is shared across the team. Appoint new staff from within existing teams, or seek to recruit new staff Project Management team will manage expectations consciously throughout the project lifecycle and issue clear guidance on the deliverables to different stakeholders Resolve through input from University Governance structures Use University governance structures to facilitate increased buy-in. Learn lessons of failure and document reasons for lack of engagement. Page 5 of 11

6 Failure to produce deliverables due to unforeseen complexity Failure to produce deliverables due to incompatibilities with MWE software / tools Process proves too complex to implement with chosen methods Project Management Group to maintain control of milestones and deliverables. Reduce potential deliverables. Use Project Steering Group to address As above. Manage user expectations concentrate on what we are able to deliver and accept that within the scope of the project we will not be able to please everyone Regular project progress meetings and tight management procedures as well as regular testing and piloting during the development process 8. Standards Any software development undertaken as part of this project will be done using an Open Standard based toolkit. We are happy to make the code developed through the project available to the community, and to sharing the lessons learned through the adaptation of lean thinking methodology to this process. The open standards on which the toolkit will be based are indicated below. Name of standard or specification Business Process - BPEL (Business Process Execution Language) - OASIS Web Services - WSDL (Web Service Definition Language) - W3C - SOAP (Simple Open Access Protocol) - W3C User Interfaces - XFDL (Extensible Forms Definition Language) - W3C - XFORMS - W3C Version Notes OASIS - (Organisation for the Advancement of Structured Information Standards) W3C - (World Wide Web Consortium) 9. Technical Development A full user requirements analysis will be undertaken to decide the best technologies to deliver the goals of the project. The new toolset will be developed by a technical team based within the Application Integration and Business Process Management Teams within the University s Information Services Directorate. The Page 6 of 11

7 team will be adopting an iterative, Agile software development approach during the technical development phase and will utilise experience and expertise acquired from working on similar processes for the JISC funded PALET Project. The Team comprises of the project s dedicated technical developer, and two members of the Information Services teams mentioned above. All are currently working on similar integration features and lean business process developments for the PALET project. 10. Intellectual Property Rights The IPR technology-related outputs from the project will be determined in accordance with University policy and with JISC guidelines. Outcomes specific to Cardiff University will remain entirely the preserve of Cardiff University. All other materials, such as the code related to the software developed as part of this project, presentations, papers, blogs and other dissemination methods delivered through the project website are granted a non-exclusive licence to JISC as appropriate to a project of this nature. Project Resources 11. Project Partners The project is based entirely within Cardiff University, but will link and coordinate with other relevant projects from the JISC Information Environment Programme if required. 12. Project Management The project will be managed by a Project Management Group operating under a Project Steering Group, the University s Modern Working Environment IT Programme Board. The Project will also be subject to the scrutiny of the University s Research Committee. A Project Management Group will be established to manage the project s on-going implementation. It will involve representatives from all of the different stakeholders and will utilise the principles set out in the University s Project Management Framework. On a day to day basis, the project will be managed from within the University s Information Services Directorate. In addition to the input from the Project Manager, a range of other Information Services staff will contribute to the leadership and management of the project at appropriate points, including crucially, the Repository Manager and members of the Business Process Management and Data Integration Teams and the dedicated Technical Developer for the project. The core membership of the Team will be supported by a range of staff at different points in the project as appropriate. This will include members of the University Library s Team of Subject Librarians and staff from the Schools of Engineering and Medicine as well as other specialist staff from Information Services and other support Directorates. The Project Management Team (PMT) will meet approximately every 2 months. The Assistant Director of Information Services, Chair for the meetings will report directly to the Steering Group, supported by a written summary from the Project Manager and minutes from PMT meetings. Page 7 of 11

8 Project Management Team The purpose and remit of the Project Management Team is to: Manage the implementation of the project; Monitor progress against the agreed project plan; Support the production of, and approve reports to JISC and the Project Steering Group; Ensure effective co-ordination and communication in implementation of the project; Monitor expenditure against the agreed budget; Advise the project manager on evolving University requirements for repository workflow in the context of: The development of the MWE The Research Excellence Framework Other relevant Cardiff University projects (e.g. Cardiff People) Membership Assistant Director Information Services (INSRV), Member of Project Steering Group Repository Manager, INSRV Head of Technical and Operational Services, University Library Services, INSRV Service Team Leader Data Integration & Business Intelligence, INSRV Senior Data Integration Officer, INSRV Senior Services Developer, INSRV Technical Developer I-WIRE Senior Consultant, Research Support, INSRV Deputy Director Planning, Member of Research Committee Registry Senior Consultant, Research, INSRV Information Specialist, School of Engineering, INSRV Engineer Web Platforms and EPrints Technical Developer, INSRV Research Administrator, School of Engineering Sub Dean for Research School of Medicine Research Administrator, School of Medicine Lecturer, School of English, Communication & Philosophy Lecturer, School of Religious & Theological Studies I-WIRE Project Manager I-WIRE Project Support Officer 13. Programme Support Through the production of the project plan and assessment of the available skills required to produce the project deliverables, the project management team has identified the following areas where support from the JISC Programme would be beneficial. Evaluation Plan and Report An Evaluation Plan will be drafted during the early stages of the project. Input from the JISC Programme and the partner Information Environment projects will be welcomed in ensuring the evaluation approach provides an independent and quantifiable report. This will be sought primarily at the planned JISC Evaluation workshop in March 2011 and also on an as needed basis. The use of an independent assessor will also be explored, potentially via the JISC Critical Friend initiative. Project Outputs Page 8 of 11

9 Support will be requested of the JISC Programme to ensure the major project deliverables around methods used and lessons learned are thoroughly understood and planned to give maximum value to the Information Environment projects and the wider community. 14. Budget See Appendix A Detailed Project Planning 15. Workpackages See Appendix B 16. Evaluation Plan A separate evaluation plan will be compiled as part of Work Package 1 and will be updated throughout the project s lifecycle. Evaluation will specifically focus on the effectiveness of the project in improving the institutional repository deposit process and assessing the impact that this has had on minimising effort and enhancing the experience of Cardiff University researchers The process will be on-going and will focus on evaluating the project against its objectives, its impact on the institution, stakeholders and wider community Formative evaluation will be carried out by the Project Steering Group (The MWE Research Portal Services Implementation Group) at regular intervals during the project, with progress against project milestones and the effectiveness of each work package being closely monitored and discussed. This will include obtaining feedback from key project stakeholders during the implementation process, so that shortfalls against project objectives can be addressed and corrective action can be taken where necessary. Summative evaluation will focus on assessing whether the institutional requirements and objectives identified in Work Package 1 have been met. This will identify key learning points from the project experience as well as considering the potential for further developing the Institutional Repository. The Project Steering Group will again oversee the evaluation process to ensure that project deliverables are assessed in the context of University-wide process improvements, as well as considering the overall value of the project to the University, to JISC and to the wider community. Timing Factor to Evaluate Questions to Address Method(s) Measure of Success Ongoing Project Outcomes and Impact Ongoing Stakeholder Reduction in the amount of time occupied by depositors submitting content to the Repository Provision of a University-wide publications database Quantitative Growth in number of registered users Growth in number of items added to the Repository Page 9 of 11

10 Engagement Ongoing Effectiveness of the Project 17. Quality Plan The Project Steering Group has prime responsibility for quality assurance, and through reports from the Project Management Team and Project Manager, will manage the monitoring and review of quality. This will include reflection and peer review of the feedback gathered from the stakeholders involved in the project, collected and published through the user requirements report, and review and evaluation of the resulting toolset. Further details will be added to the quality plan as the project develops and evolves. 18. Dissemination Plan The project will adopt an active approach to dissemination, partly in recognition of the need to facilitate the active engagement of different stakeholder groups. Activities will be undertaken to raise awareness of the project, to improve understanding (both of the project s outcomes and of the lessons learned), and to ensure appropriate action is undertaken to help secure effective implementation of the revised workflow(s) and processes. A selection of the activities that will be undertaken is outlined in the table below. This will be reviewed and updated regularly. Timing Dissemination Activity Audience Purpose Key Message Ongoing Project website and blog Internal and external stakeholders Ongoing Internal meetings and forums Range of internal stakeholders including Research Administrators Ongoing Publish key reports Internal and external stakeholders Ongoing Ongoing JISC Programme meetings Other repository related events, e.g. events Other projects within the JISC Programme HE Community To raise awareness and keep stakeholders informed of progress and future plans. To raise awareness and provide a forum for consultation. To keep stakeholders fully engaged and up to date. To inform stakeholders of progress and to disseminate the outcomes from key stages within the project. To network and share. To keep the community up to This is a key project. This project will help you. This is what the project has done. Opportunities to work together. This is what the project has done. Page 10 of 11

11 staged by the Repositories Support Project and the annual Open Repositories Conference. date with the project s progress. 19. Exit and Sustainability Plans The project aims to ensure that the outcomes are embedded within the institution and that any transferable outcomes are disseminated effectively to help promote uptake across the wider community. By engaging with users and working with relevant elements of the University s governance structures it is expected that the new procedure will be embedded and adopted across the institution. Some further examples are given below: Project Outputs Action for Take-up & Embedding Action for Exit Electronic toolset Any software development undertaken as part of this project will be done using an Open Standard based toolkit, which will be made available to the community. The Project will be adopted by the University as it is integral to 2 current University initiatives. the Lean University and the Modern IT Working Environment programme (MWE) Successful dissemination to all potential Cardiff University users and the wider HE community. Lessons learned through the adaptation of a service orientated approach to technical design. Reports and scenarios outlining the lessons learned will be developed and made available to relevant external stakeholders. Successful dissemination to the wider community Project Outputs Why Sustainable Scenarios for Taking Forward Implementation of the new submission workflow and other functionality through the IT based toolset Project outputs would help the University make good it s commitment to implement lean, automated business processes as part of the MWE initiative. Project outcomes would help inform the further development and implementation of the MWE. Issues to Address Ongoing resource requirements need to be identified and met. Future advocacy requirements currently subsumed in existing job roles. Appendixes Appendix A. Project Budget Appendix B. Workpackages Page 11 of 11