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WORKING PAPER 17
Written by:
Benjamin Horne, Tanya Torres and Jessica Mackenzie
December 2016
The authors’ views expressed in this publication do not reflect the views of the
Government of Australia, Government of Indonesia, or the Knowledge Sector Initiative.
All entities will not accept any liability arising as a result of this publication. The authors
wish to thank Hannah Caddick (Overseas Development Institute), and Mirisa Hasfaria,
Sharief Natanagara and Arnaldo Pellini of the Knowledge Sector Initiative for their time
and kind assistance.
ii
Key Messages
ll There is increasing demand for knowledge repositories from think tanks, policy
research institutes and government departments. One of the most important
aspects of establishing these is that they link to the global Open Access
movement, and ensure that publicly funded research (and their data sets) are
made openly available, building the collective knowledge base.
ll Establishing a knowledge repository will: (i) enable your staff to access shared
documents across the organisation, saving them time and making their research
easier; (ii) generate efficiencies for the management team, giving them a
clear sense of what is being produced across the workplace; (iii) help staff to
ensure there is a coherent ‘voice’ across their outputs, given the shared sense
of direction and terminology; and (iv) help a think tank showcase their work
in an accessible and searchable way, promoting its products to the broader
community.
ll The most common problem with the introduction of knowledge repositories into
workplaces is that people focus too much on technology. What should really be
prioritised in selecting and applying one, is the way that users engage with it.
That is the starting point for selection.
ll We have identified three key models for knowledge repositories – Institutional
Repositories (IR), Research Networking (RN) Tools, and Current Research
Information Systems (CRIS) – depending on what your think tank or government
department is trying to achieve. Although the borders between these platforms
are becoming increasingly blurred, there are enough differences in the
respective requirements that it makes sense to keep them separate.
ll Once you have determined your model, this paper outlines a road map for
establishing your knowledge repository, step by step. The steps are in four
broad categories: planning and budget , testing user engagement, partners and
relationships and legal considerations (see Diagram 1).
ll Key practicalities to consider include:
yy understanding what services would be most relevant to your users
yy eliminating confusion and duplication with other research systems or
organisations that already exist; and
yy take into account the availability of resources (for example, in-house
expertise and existing infrastructure), as these will all have a huge impact
on the most appropriate course of action.
iv
Abbreviations and
Acronyms
CRIS Current Research Information System
IR Institutional Repositories
RN Research Networking
T
he origin of this paper is a diagnostic study on types and characteristics
of knowledge repositories produced in 2015 to inform the planning and
design of a government think thank. This paper is therefore derived from
a study which had a specific objective and scope. What we want to do
here is to share the key findings from that activity.
This paper provides an overview of how to develop a roadmap to establish a
knowledge repository in a think tank, policy research institute or government
department. Government departments in a variety of countries are increasingly
asking for help to access synthesised information, wanting the latest analysis at
their policy makers’ fingertips, allowing them to make real-time decisions (Ribeiro
and Minnielli 2016). Many believe this will help overcome perceived blockages in
their analytic and knowledge needs. In order to do this, there is demand for systems
such as knowledge repositories within government departments. Furthermore,
to meet demands from government for analysis, many policy research institutes
and think tanks (which provide research to government) are seeking to set up
knowledge repositories, to better manage their existing material.
This paper is intended for people working in management positions within
think tanks or government departments (overseeing change management for
example), who are trying to make decisions about operational issues. It aims to
help synthesise the choices involved in determining how best to connect staff to
the materials that are most relevant to their work. It assumes that these decision
makers are facing realities and trade-offs, with limited time to invest in reading the
extensive academic literature or surveying the varied options available. It tries to
distil the key benefits and drawbacks of each option and provide clear arguments
as to what each option offers. Rather than simply requesting a knowledge
repository to overcome information shortfalls across a think tank or government
vi
1 department, requests can now be informed by what is available and select a type
of model that is most relevant to their needs.
Why You Would Want a
Knowledge Repository
2
O
ne of the biggest
challenges for
organisations
today (either
think tanks servicing
government departments
or the departments
themselves) is knowledge
management – connecting
people to the right
information at the right
time and in the appropriate
format for decision making
(Tiwana 2000). Knowledge repositories are online databases specifically
designed to overcome such issues, through systematically capturing, organising
and categorising information being produced by an organisation or research/
sectoral community. While information systems and other management systems
gather, structure and utilise data/information, knowledge repositories move
beyond this remit by also providing access to experts and/or processes-related
to facilitate the exchange of tacit knowledge. By providing a central platform for
online resources, which both they themselves and outsiders can easily access,
knowledge repositories help organisations to connect people with information
globally via digital searchable libraries, discussion forums and other elements.
Knowledge repositories have become an integral part of knowledge management
programmes, as a means to ensure growth and competitive advantage (Hatala
and Lutta 2009). In the context of think tanks and policy research institutes,
knowledge sharing and knowledge sharing culture are vital – they require a free
flow of information among members that is undistorted and up-to-date in order to
strengthen and systematise policy-relevant knowledge and ideas (Kurbalija 2002).
These organisations must preserve and provide access to their materials and
products, and make them more visible to their primary users, as well as the wider
research community. For government departments, the ability to share knowledge
quickly and in a searchable format across staff is also vital. Decision makers
often require information within very short time frames, as priority issues emerge
(sometimes haphazardly) and warrant responses to the public or to the programmes
in question. This access to the latest thinking, networks or to the different options
available, at short notice in a reliable way, can be a key pillar of successful decision
2
3
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What the Main
Options Are
3
T
here are many different types of systems being used by governments,
research institutions, multilateral organisations and private sector
companies to preserve and provide access to their work around the
world. We have identified three key models of knowledge repositories,
shown in Table 1.
Model In Essence
A curated digital library – externally oriented,
A. Institutional and
open access, providing full text, most often run
Research Repositories
by the library in a university. These are typically
(IR)
a low-cost option.
2 See their website: http://orcid.org/ 3 According to some authors, for example Oliver and Swain
(2006), “from [the relationship of repository content to
the research and development investments,] it may be
possible to monitor the growth and distribution of innovation
4
5 geographically around the world”(p. 4).
they are interoperable. ll Enable advisors, research policy makers,
The RN (and expertise directory) and research funding bodies to gain the
model has some merits that mean it is necessary information for evidence-based
recommended for a government department policy making, the systematic monitoring
in particular, or also a think tank. This model and evaluation of these policies, and
could include information about staff from the establishment of priorities and the
policy research centres, research institutes, co-ordination of research efforts on a
and policy makers within government national and regional level.
ministries and departments. As a result, ll Allow researchers to have a valuable tool
these knowledge management systems: not only for recording and presenting their
ll Demonstrate researchers’ activities activities but also for finding valid
and accomplishments to the research information about the general environment
community, government agencies, to which they belong. Also, a relatively
industry, media and the public small input effort is required because
ll Facilitate the development of new most input is automated.
collaborations to address research
challenges by helping leaders rapidly
discover researchers with particular
expertise. This allows policy makers
to engage with researchers or experts
directly to obtain customised research
or input into decision-making when
needed.
ll Offer powerful network analytics by
using information to create visualisations
of how researchers and research
are related, either by subject/topic or
geography.
The CRIS model has limited merits
that would see it recommended for a
think tank environment or government
department. It is best suited for universities
or large, established research communities
managing projects and grants. An important
consideration is that the CRIS model is
internally oriented, because it is chiefly
concerned with collecting a wide range of
metadata about all aspects of the research
activity carried out at an institution, and
places special emphasis on projects and
funding.
Once information is submitted, the CRIS
model can:
ll Support the dissemination of knowledge
and exploit research results on a
collective level.
T
here are several key steps to the team to begin planning, with assistance
consider when establishing any of to develop policies and conduct initial design
the knowledge repository options in work. Once staff have been hired, planning
your think tank. The sequencing of can begin for a pilot/prototype that will feed
these are outlined here and in the roadmap into a full repository over the longer term.
below (see Diagram 1). These steps include External expertise and consultants may be
carefully assessing funding and existing needed in the short-term while building the
internal resources, testing user needs and capacity of your staff. During the planning,
piloting a model. design and implementation process, efforts
The steps proposed in Diagram 1 are should be made to involve key users from both
adapted from the Confederation of Open your think tank (or government department)
Access Repositories (COAR) resources, to and the wider research community. The
be undertaken when establishing the selected availability of in-house expertise and the
repository model. Developing the prototype existing infrastructure of an institution will also
will depend on resources (human, financial have a huge impact on the most appropriate
and time) available and trials or an initial course of action.
proof of concept (which can be reviewed, In addition to these general remarks, there
tested and refined before continuing with full are specific considerations for each model.
implementation of the repository). Crucially, although the above knowledge
management systems share a good deal
4.1. Practicalities to Bear in Mind of functionality, there are also relevant
First and foremost, the team responsible differences in the approach these systems
for developing the knowledge repository take towards collecting and disseminating
should review and make decisions according research information management (De
to current user needs. One way to ensure Castro 2014). For example, the CRIS model
that the repository and its services will be is more focused on monitoring rather than
relevant is to conduct a needs analysis. A maximising impact, and is not always used
typical needs assessment includes both to prioritise dissemination of the research
formal input, usually some type of survey, information that they store. The purpose of
as well as more informal means, such the IR and RN models is exactly the opposite:
as through discussions with faculty or while many institutions may use them as
government officers (Barton and Waters wider research information management
2005). These consultations should not only platforms – that focus on the preservation of
be at the more senior levels of staff, but full-text material rather than just bibliographic
focus on the people who will be using the data – they are usually oriented towards
repository in their day-to-day work. Hiring the outside world to showcase, disseminate
a repository manager/director would allow and grant open access to the institutional
6
7
Diagram 1
1/ Planning and budget
Vision. Define an overall vision for the repository
to guide the policy framework and connect this to
user needs.
Governance. Develop a governance structure that
2/ User engagement
can: a) provide strategic input into the vision and
IT infrastructure. Acquire and install IT infrastructure.
overall direction of the repository over the longer
term, and b) budget, identify and hire staff to help Software. Install and configure software
plan, implement and maintain the repository.
Pilot plan. Develop a strategy for the pilot/prototype service and a plan for
Consider involving users from key organizations
transferring to the full-blown production service. This can also feed into
or groups in participatory decision-making. It may
Governance.
be helpful to hire external experts with repository
and/or platform experience to build capacity Integration with internal systems. Develop a strategy for integrating
within the repository management team. repository software with other systems within the policy research centre.
Software. Compare and select repository software Capture Research Records and Submit Research Items. The repository content
based on your requirements. Consider proprietary, management team is responsible for adding content. Bearing in mind the
open source and cloud/hosted services as well as need for content to meet the needs of policy-makers, it is important to ensure
the support needed. the quality and format meet the specifications set out by the centre before
adding it to the repository. Develop a strategy to work collaboratively with
Platform and programming. Based on the software
Roadmap for researchers and their organisations to collect and submit content.
requirements, develop and review a budget for the
necessary technical / server hardware resources Launch and marketing. Develop a plan for an official launch and create a
– this may also include using cloud or virtualised developing strategy for marketing the repository to key users, enable all the Google
servers, either public or private. Remember to indexing tools, verify that the sitemaps for Google are working, and develop a
include a long-term plan for continuous regular plan for using digital object identifier (DOIs).
reviews, customizations, optimizations and audits
in order to reflect current practices and tech and a knowledge
preserve the repository’s contents.
URLs and DOIs. Create easy to understand “vanity” 4/ Legal
URLs for the repository that reflect the centre’s
branding and marketing, as well as persistent URLs Requirement documentation. Document all
for use over the long-term. Develop a strategy for
repository the specifications for the repository system.
preserving digital objects using non-proprietary or
open formats based on international standards. Open Access Policy, Repository Preservation
and Audit. Develop an open access policy and
Metrics. Determine what usage and download a repository preservation plan that will allow
statistics you want to measure and decide whether the centre to develop repository management
to use repository tools, add-ons or external tools capacity as a collaborative effort between the
to collect data. repository management staff and key research
Authentication. Determine access levels and producers and decision makers in order to
authentication procedures for the repository users. create a trustworthy research repository.
Ensure that the access policy is consistent
Metadata. Determine metadata requirements with the repository’s vision and other policy
and set up schema. Consider international decisions.
standards for subject heading (FAST and others)
and authorities for individuals and organizations and services including digital library systems, and other Copyright. Develop a process for checking
(ORCID, VIAF and others) and explore options for 3/ Partners and relationships institutional or research repository systems. the copyright status of items coming into the
developing parallel bilingual (English/Indonesian) Workflows. Develop workflows within your organization to repository and determine how to deal with
subject headings). Engaging partners. Develop a strategy for working with incorporate (from/to) repository content and workflows to copyright issues, consistent with national and
other research institutions to deposit items, harvest items or deal with incoming content from other organizations. international copyright standards.
Backup and monitoring. Create a plan for disaster
receive alerts for new items in the repository. Explore open Deposit and re-use licences and policies.
recovery, monitoring and system back-ups, Support and management help. Many research
interoperability options to ‘pull/harvest’ and ‘deposit/submit’ Define a deposit licence, re-use licence and
preferably in several different geographical organizations have implemented research repositories
items from the repository using the OAI-PMH, OAI-ORE and policy.
locations. and there are several active networks of people and
other services.
organizations that provide guidance, resources and help
Budget. Develop and review budget to ensure that
7
8
research output. Government departments Nowadays all three models are rapidly
may like to simply connect to existing IRs evolving towards an increasing level of
or RNs. Knowledge repositories are more integration, with the differences between
typically used by universities and think them becoming progressively difficult to
tanks, rather than government departments. point out (Ribeiro and Minnielli 2016).
Government repositories make up only 2.6% Indeed, the interoperability of these systems
of repositories registered, or 83 of the 3,182 is now a fairly widespread feature that will
currently registered (Figure 2).4 allow all platforms to efficiently exchange
Similarly, the CRIS model collects a wide information and reinforce each other’s
range of research information in order to be features. However, since the CRIS model
able to describe the institutional research is built around institutional workflows and
activity for reporting purposes, either at existing systems, it is recommended to wait to
funder, institutional or governmental level. implement this model until the organisation,
On the other hand, the main goal of IR and its work processes and systems are more
8
9
and receive benefits by ensuring that publicly a hosted platform). To see a comprehensive
funded research (and the data sets behind list of the software available for use, the
them) are made openly available. The public UNESCO guide is helpful. Knowledge
can then access this research and data, and repositories remain an emerging field, with
other researchers can contribute to and build new developments regularly surfacing.
upon the work, fostering collective learning, Other helpful sites include Repository66,
and helping to build an interconnected, which shows where different open access
emerging knowledge base. repositories are located worldwide.
Of the 3,182 repositories listed with leading According to this site, Indonesia has 45
site for Open Access Repositories, listed repositories, the majority of which are
OpenDOAR, the Indonesian language either DSpace and EPrints software. The
(Bahasa Indonesia) is only used by 42 site Ranking Web of World Repositories is
repositories. However, once established, the also noteworthy, which ranks global
majority of repositories remain fully repositories based on criteria, including
operational, if resourced well. Of those size, visibility and a scholar rating. According
repositories listed with OpenDOAR, 3,010 to this site, Indonesia has 64 repositories, of
repositories (or 94.6 percent) remain fully which the highest ranked is the repository at
operational, with only 86 (or 2.7 percent) listed Diponegoro University.
as having been used for trial purposes, and 20
(0.6 percent) closed. According to OpenDOAR,
Indonesian language (Bahasa Indonesia) is
only used by 42 repositories. However, once
established, the majority of repositories
remain fully operational, if resourced well. Of
those repositories listed with OpenDOAR,
3,010 repositories (or 94.6%) remain fully
operation, with only 86 listed as having been
used for trial purposes (or 2.7%), and 20
closed (0.6%). According to OpenDOAR, the
most popular software platforms for IR are
DSpace (which is open source), EPrints (also
open source) and Digital Commons (which is
10
11
requirements and the available resources. the users’ perspective, the technology will
Nonetheless, whichever model is selected, not be as effective. Consideration needs to
there are no shortcuts to building a knowledge be given to the barriers human nature poses
repository. You still need to design a service, to information sharing. It is essential that the
apply the proper technology platform, create design of the repository reflects the user’s
policies, recruit content communities, enlist needs within the institution and its key
faculty participation and market the service to audience of decision makers and
your users (Barton and Water 2005). Luckily researchers, as well as build upon national
there is a wealth of information and experts and international networks. In an effort to
available to help you do this. preserve research and ensure sustainability,
It is important to remember that technology the repository should focus not only meeting
is an enabler of knowledge management, not the immediate needs of the organisation but
the whole answer. If you do not understand should also strive to meet future needs in
the years to come.
Roadmap Infographic
The roadmap infographic was developed by Hannah Caddick, Overseas Development
Institute, with thanks to the following sources:
1. Confederation of Open Access Repositories (COAR) Resources (2016). https://www.coar-
repositories.org/activities/support-and-training/resources/, which in turn includes information
from these sources:
- JISC Infonet: http://www.jiscinfonet.ac.uk/infokits/repositories/
- Repositories Support Project: http://www.rsp.ac.uk/
- Practical guidelines for starting an institutional repository, developed by Stellenbosch
University SUNScholar repository team: http://bit.ly/goodir
Report References
1. Barton, M. R. and Waters, M. W. 2005. Creating an Institutional Repository: LEADIRS
Workbook. Cambridge: MIT Libraries. Retrieved 21 July 2016 from: http://bit.ly/2awh4MD.
4. EuroCRIS. 2016. Why Does One Need a CRIS? The Research Process and How a CRIS Can
Support It. Retrieved 20 July 2016 from: http://bit.ly/2agu1s5.
6. Kurbalija, J. 2002. Knowledge and Diplomacy. Msida: DiploProjects. Retrieved 20 July 2016
from: http://bit.ly/2agto1E.
7. Liauw, T. T. 2013. “Open Access dan Perguruan Tinggi Indonesia” in J. G. Sujana & B.
Mustafa (eds.), Perpustakaan Indonesia Menghadapi Era Open Access: Bunga Rampai (pp.
52). Bogor, Indonesia: Perpustakaan Institut Pertanian Bogor.
8. Max-Planck Society. 2003. Berlin Declaration on Open Access to Knowledge in the Sciences
and Humanities. Retrieved 2 August 2016 from: http://openaccess.mpg.de/Berliner-
Erklaerung
12
13
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now to explore a rich
collection of eBooks, textbook
and enjoy exciting offers!
10. Ribeiro, L., De Castro, P. and Minnielli, M. 2016. Final Report: EUNIS – Eurocris Joint Survey
on CRIS and IR. EUNIS Research and Analysis Initiative Publication. Retrieved from http://
www.eunis.org/blog/2016/03/01/crisir-survey-report/
11. Tiwana, A. 2000. The Knowledge Management Toolkit. Upper Saddle River, NJ, USA: Prentice
Hall.
Websites Accessed
1. International Conference of Economics and Business Information: http://www.inconecss.eu/
(Accessed 10 August 2016)
a. http://www.opendoar.org/onechart.
php?cID=&ctID=&rtID=&clID=&lID=&potID=&rSoftWareName=&search=&groupby=ct.
ctDefinition&orderby=Tally%20DESC&charttype=bar&width=600&caption=Content%20
Types%20in%20OpenDOAR%20Repositories%20-%20Worldwide (Accessed 9 August
2016)
b. http://www.opendoar.org/onechart.
php?cID=&ctID=&rtID=&clID=&lID=&potID=&rSoftWareName=&search=&groupby=rt.
rtHeading&orderby=Tally%20
DESC&charttype=pie&width=600&height=300&caption=Open%20Access%20
Repository%20Types%20-%20Worldwide (Accessed 9 August 2016)
c. http://www.opendoar.org/onechart.
php?cID=&ctID=&rtID=&clID=&lID=&potID=&rSoftWareName=&search=&groupby=l.
lName&orderby=Tally%20DESC&charttype=bar&width=600&caption=Most%20
Frequent%20Languages%20in%20OpenDOAR%20-%20Worldwide (Accessed 9 August
2016)
d. http://www.opendoar.org/onechart.
php?cID=&ctID=&rtID=&clID=&lID=&potID=&rSoftWareName=&search=&groupby=os.
osHeading&orderby=Tally%20
DESC&charttype=pie&width=600&height=300&caption=Open%20Access%20
Repository%20Operational%20Statuses%20-%20Worldwide (Accessed 9 August 2016)
6. The UNESCO guide provides an easy-to-use comparison between some of the most
popular software: http://www.unesco.org/new/en/communication-and-information/resources/
publications-and-communication-materials/publications/full-list/institutional-repository-software-
comparison/ (Accessed 10 August 2016)
Tanya Torres
Tanya Torres is an international librarian and knowledge management professional who has
worked with governments, universities, NGOs, and private companies around the world for more
than 20 years. She enjoys working with organizations to help them organize their information
for the purpose of sharing and collaboration. Ms. Torres has a Masters of Library Science and
a Masters of Public Policy. For the past seven years, she has worked with libraries, developed
knowledge management strategies and managed digitization efforts with researchers and
librarians in Southeast Asia. She has helped research organizations, development projects,
government libraries and cultural heritage institutions to improve discovery, knowledge sharing
and preservation. Ms. Torres has also conducted research with scholars and librarians from many
of the leading Indonesian universities, lectured on information and technology trends, and held
workshops and training on digital libraries and research repositories.
Jessica Mackenzie
Jessica Mackenzie is a Research Fellow in the Research and Policy in Development (RAPID)
Programme at ODI. Her work focuses on decision-making in policy formulation, research uptake
and how to improve the role of knowledge in policy-making particularly within developing countries.
Prior to joining ODI, Jessica has worked in a variety of sectors in international development
including managing large-scale education, law and justice and electoral support programmes
and worked on the Aceh Reconstruction Programme after the Boxing Day tsunami for several
years. During this time she was working for the Australian Agency for International Development
(AusAID), within the Department of Foreign Affairs and Trade (DFAT) and was posted to the
Australian Embassy in Jakarta for four years. She was one of the lead designers of the Knowledge
Sector Initiative in Indonesia.
15
14
Think Tank Management: Establishing a Knowledge Repository 15
16
The Knowledge Sector Initiative (KSI) is a joint program between the governments of
Indonesia and Australia that seeks to improve the lives of the Indonesian people
through better quality public policies that make better use of research, analysis and evidence.
KSI is a consortium led by RTI International and in partnership with Australian National University (ANU),
Nossal Institute for Global Health, and Overseas Development Institute (ODI).
16
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