©Tangaza University College 2014 Vision Mission and CORE Values Vision statement Tangaza University College aspires to be a community of learning and holistic human formation directed towards the promotion of gospel values and academic excellence in a multi-cultural context. Our community is committed to ministerial education to produce agents of evangelization and social transformation with a special interest in outreach towards the integrity of creation and a wider human horizon. As a consequence we aspire to transcend all artificial boundaries of race, religion, gender, class and ethnicity to be consistent with the divine vision for the human family. Mission Statement Rooted in the Mission of the Trinity, TUC provides holistic formation programs to prepare servant leaders, ordained and lay, for the Catholic Church and society. To this end Tangaza is committed to providing an all-round quality education in an environment which promotes freedom and responsibility, excellence in teaching and learning, research and scholarship, ethical and integral development in service to the world. Core Values As a Catholic Institution, Tangaza University College is a community of faith in Jesus Christ that witnesses to Gospel values in all its proceedings: • Preferential option for the poor • Integrity • Justice and Peace • Respect for human dignity and sanctity of human life • Freedom and responsibility Foreword (By the Principal) There is a standard one….. Table of Contents Vision Mission and CORE Values 1 Vision statement 1 Mission Statement 1 Core Values 1 Foreword 2 Table of Contents 3 Definition of Terms 4 1.0 Introduction 8 2.0 Tangaza University College Institutional Digital Repository 8 3.0 Benefitits of a Repository 8 3.1 Benefits to Tangaza University College 8 3.2 Benefits to Individual Researchers 9 4.0 Open Access Policy Statement: Faculty 9 4.1 Open Access Policy Statement: Students 10 4.2 Submission Policy 11 4.3 Content Policy 12 4.4 File Formats 13 4.5 Metadata Policy 13 4.6 Policy concerning Use of Data 13 5.0 Selection, Retention, Replacement, Withdrawal and Deletion 14 5.1 Selection and Retention 14 5.2 Replacement 14 5.3 Withdrawal from Open Access view 14 5.4 Deletion 15 6.0 Publisher and Research Funder Policies 15 7.0 Preservation Policy 16 8.0 Legal and Policy Framework 16 9.0 Administration 17 10.0 Disclaimer 17 11.0 Amendments 18 APPENDIX 1 19 Deposit Agreement 19 Definition of Terms In this policy, unless the context otherwise requires, the following terms will have the Meanings assigned to them: Authorize others to do the same: The copyright holder has the sole right to authorise others to exercise rights under Copyright Law, and the right to authorise others to exercise rights. This language transfers the non-exclusive right to TUC to allow others to use the items in specified ways and contexts, such as other TUC faculty members who want to use an article in teaching. Compliance: Conformity in fulfilling official requirements. Copyright: An original work of authorship which has been fixed in any tangible medium of expression from which it can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device, such as books, articles, journals, software, computer programs, musical works, dramatic works, videos, multimedia products, sound recordings, paintings, pictorial, sculpture or graphical works. Creative Commons License: Recognises the author’s copyright authority, but allows others to copy and distribute the work provided they give the author credit and only on the specified conditions. Deposit: A deposit represents a bundle of submitted information. Typically, a deposit consists of descriptive metadata, access conditions and copyright information, and any relevant uploaded files. This entire set of saved information is the deposit record. Depositor: Creator of a deposited item who submits digital items and associated metadata for uploading to the repository. Digital Preservation: The process of ensuring that a digital object is accessible over the long term. DSpace Open Source Software: Is a Free Open Source Software (FOSS) that helps to preserve and enable easy and open access to all types of digital content including text, images, moving images, mpegs and data sets. Dublin Core: The Dublin Core is an initiative to create a digital ‘Library card Catalog’ for the web. It is made up of a set of 15 standard metadata elements that facilitate indexing and searching of electronic resources in the World Wide Web. Embargo: Banning of the full text publication of the document, usually for a defined period of time. Evaluation: Systematic and objective assessment of an on-going or completed project/programme or policy in order to determine the relevance and fulfilment of objectives as well as efficiency, effectiveness, impact and sustainability. Faculty: Bona fide member of the Tangaza University College teaching staff, whether full- or part-time. Final Version of the Article: The author’s version with any changes made as a result of the peer-review process, but prior to publisher’s copy-editing or formatting. Institutional Digital Repository (IR): Is a set of services that a university offers to the members of its Community for the management and dissemination of digital materials created by the institution and its community members. It includes an organization’s commitment to the stewardship of digital materials, including long-term preservation where appropriate, as well as organization and access. Intellectual Property: Any new original or useful process, machine, composition of matter, life form, article of manufacture, software, literary, artistic, musical work, or tangible property including new or improved devices, circuits, chemical compounds, drugs, genetically engineered biological organisms, data sets, software, musical processes, or unique or innovative uses of existing inventions that may or may not be patentable, copyrightable, trade markable or protectable under any other form of intellectual property. Irrevocable Licence: The permission granted may not be taken back; there are no fees associated with the permission granted, and the permission applies worldwide. Item: Any scholarly work being deposited including abstract, text, images and related data. Metadata: Data that describes other data. For items in open access repositories, this usually consists of a full bibliographic reference, abstract, keywords and similar information. Monitoring: Continuing function that uses the systematic collection of data on specified indicators to inform management and the stakeholders of an on-going project/program of the extent of progress and achievement of the results. Non-exclusive rights: After an author grants non-exclusive rights, he/she still retains ownership and complete control of the copyright in their writings, subject only to this prior license. The author can exercise copyright in any way he/she deems fit, including transferring them to a publisher as desired. Not sold for a profit: TUC will not generate a profit from exercising the rights granted, but could recover costs for a service related to the articles, such as printed course packs. Open Access Journals: Open-access journals are scholarly journals that are available online to the reader without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. Open Access: Budapest Open Access Initiative Definition: By ‘open access’ to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited. Open Archives Initiative (OAI): The Open Archives Initiative develops and promotes interoperability standards that aim to facilitate the efficient dissemination of content. OAI has its roots in the open access and Institutional Digital Repository movements. Open Access Repository: Items stored and made available on the internet, permitting any user to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful, non-commercial purpose, without financial, legal or technical barriers other than those inseparable from gaining access to the internet itself. Scholarly Works: Research, literary, performed, and fictional works in various formats produced by academics. Staff: Will mean any person employed by Tangaza University College on contract or on permanent and pensionable terms; Student: Bona fide student of the Tangaza University College. Tangaza University College Institutional Digital Repository: A digital, open access, content-neutral collection of the Tangaza University that captures and preserves the intellectual output of the institution and its community members. Universal Resource Locator (URL): This is a pointer to a ‘resource’ on the World Wide Web; a unique address for a file that is accessible on the internet. 1.0 Introduction The growth of Information and Communication Technologies has fundamentally changed the way scientific knowledge is distributed. Through the internet new and efficient modes of knowledge dissemination have emerged, prominent among these being the Open Access (OA) initiative. Open Access is the provision of free and unrestricted access to peer-reviewed research. 2.0 Tangaza University College Institutional Digital Repository As an academic institution, Tangaza University College is not only a contributor to global knowledge through its core activities of research, teaching, learning and consultancy, but also a consumer of such information. The University’s aim is to be a vibrant and dynamic participant in the global creation, exchange and application of knowledge. Access to and sharing of TUC research outputs is therefore central. The Tangaza University College Institutional Digital Repository, http://repository.tangaza.org, is the means for the long-term archiving, preservation and retrieval of materials deposited within it and provides a permanent record of the University’s scholarly activity by employing the latest technology to aid that objective. The primary aim of the Tangaza University College Institutional Digital Repository is to provide unfettered, searchable access to the University scholarly output, increase the University’s general internet visibility and the impact of the University’s research, as well as to enhance the feedback loop to University researchers, the University, and other stakeholders. 3.0 Benefits of a Repository 3.1 Benefits to Tangaza University College At institutional level, the benefits of an Institutional Digital Repository seek to provide include: 1) Providing long-term preservation to research outputs. 2) Showcasing the University’s scholarly footprint and acting as an effective marketing tool, thus increasing the visibility, reputation and prestige of the university. 3) Demonstrating the scientific, social and economic relevance of the institution’s research activities 4) Enhancing opportunities for communication and collaboration between individual researchers and research teams, and between individual creative artists and groups. 3.2 Benefits to Individual Researchers The benefits of depositing scholarly works to an open repository are numerous. By contributing research work to a repository, the author will be: 1. Making research more visible on the web. 2. Reaching a wider readership via free access to research. 3. Contributing to open access to research. 4. Achieving higher citation rates and impact. 5. Provided with long-term preservation. 6. Given permanent metadata identifiers and link for each deposited paper. 4.0 Open Access Policy Statement: Faculty It is a strategic goal of the University to invest and engage in productive collaborations with national and international institutions and industry to enhance the University’s role in knowledge creation and exchange, for positive impacts on social-cultural, economic and political development and also to facilitate dissemination of research results and innovations to target users for application to disseminating the fruits of its research and scholarship as widely as possible. On this basis, it is the University’s aim that all research output should be deposited, subject to the submission procedure, with TUC Institutional Digital Repository in an electronic format in order to provide online open access. Through its Open Access Repository, TUC will be contributing to a growing international corpus of refereed and other research literature harvested by internet search engines and available through the World Wide Web. In keeping with that commitment, the University adopts the following policy: I. Each University member will grant to TUC permission to make available his or her scholarly works and to exercise the copyright in these works. More specifically, each faculty member grants to the University a non-exclusive, irrevocable, worldwide license to exercise any and all rights under copyright relating to each of his or her scholarly works, in any medium, and to authorize others to do the same, provided that these works are not sold for a profit. The policy will apply to all scholarly works authored or co-authored while the person is a member of the University except for any works completed before the adoption of this policy and any works for which the faculty member entered into an incompatible licensing or assignment agreement before the adoption of this policy. The Deputy Principal for Academics or the Deputy Principal for Academics designate may waive application of the policy to a particular scholarly work upon written request by the faculty member explaining the need. II. Each Faculty member will provide an electronic copy of the final version of his/her scholarly work at no charge to the appropriate representative of the Deputy Principal for Academics Office in an appropriate format (such as PDF) specified by the Deputy Principal for Academics Office no later than the date of its publication. The Deputy Principal for Academics’ Office may make the work available to the public in the Tangaza Institutional Digital Repository. The Office of the Deputy Principal for Academics will be responsible for interpreting this policy, resolving disputes concerning its interpretation and application, and recommending changes to the University from time to time. III. The University encourages faculty to publish their scholarly work in peer-reviewed Open Access journals. Peer reviewed articles for uploading to the repository will be deposited at the time of acceptance for publication or no later than the date of publication. IV. The deans of faculties and directors of schools, institutes and the Board of Postgraduate Studies (?) will be responsible for ensuring that academic staff are aware of their obligations to submit their scholarly and research outputs to TUC Institutional Digital Repository to aid the University in exposing its research to the wider global community and thereby enhancing its visibility. 4.1 Open Access Policy Statement: Students Tangaza University College is committed to free and open access to scholarship for all and takes responsibility for the dissemination of its own research outputs. This commitment is rooted in the University Mission and is undergirded by its core values. In keeping with this commitment, the University adopts the following policy: I. All students of the University will be required to submit their scholarly output, together with valid metadata, to the Tangaza University College Institutional Digital Repository as a condition of graduation. II. This policy applies to all scholarly works completed by students before and after the adoption of this policy. III. The Institutional Digital Repository will operate as a non-profit, non-commercial, open access facility. IV. Each student will grant to Tangaza University College non-exclusive, irrevocable, world-wide license to exercise any and all rights under copyright relating to their scholarly articles in any medium, provided that the articles are not sold for a profit, and to authorize others to do the same V. The University encourages students to publish their scholarly work in peer-reviewed Open Access journals. Peer reviewed articles for uploading to the repository will be deposited at the time of acceptance for publication or no later than the date of publication. VI. The deans of faculties and directors of schools, institutes and the Board of Postgraduate Studies will be responsible for ensuring that students are aware of their obligations to submit their scholarly and research outputs to TUC Institutional Digital Repository to aid the University in exposing its research to the wider global community and thereby enhancing its visibility. 4.2 Submission Policy As the Information in Tangaza University College Institutional Digital Repository will have a bearing on the reputation of the University, all submissions will be subject to the following: I. Items will only be deposited by accredited members of the University, or their delegated agents. Authors who are depositors will only submit their own work for archiving. II. Where an item has multiple authors at least one author must be a member of staff or a student of TUC, and the submitting author will obtain the permission of the co-authors. III. TUC Institutional Digital Repository is not an exclusive repository. Authors may also deposit their work in other repositories as desired or required. IV. Where the depositing author has assigned copyright, the full item will not be made publicly visible until any publishers’ or other embargo periods have expired. V. The policies of the Schools and Institutes of the college will be followed in matters concerning Long Essays and other institute material before placing them on public view The TUC Institutional Digital Repository Administrator will only assess items for the eligibility of authors/depositors, relevance to the scope of TUC Institutional Digital Repository, valid layout and format, correct metadata and the exclusion of spam. VI. The validity and authenticity of the content of any submissions is the sole responsibility of the depositing authors. VII. The Repository staff will review and assess all submissions before making them available via Tangaza University College Institutional Digital Repository for eligibility of the depositor/author. Any submissions not meeting the submission criteria will be returned to the depositor together with reasons for refusal. 4.3 Content Policy The following types of materials will be accepted into the Repository: 1. University policies. 2. Long essays, theses and dissertations/research projects,. 3. Books, monographs, chapters and other literary publications. 4. Scholarly Research articles (published peer reviewed and pre-prints). 5. Technical reports, working papers, and minutes of meetings. 6. Inaugural lectures, distinguished lectures, speeches; Open lectures; Conference/workshop Proceedings; Valedictory presentations. 7. Events programs. 8. Image collections (paintings, pictures, drawings, illustrations, etc). 9. Audio and audio-visual materials. 10. Students journalism and media content / Journalism students’ media content 11. University calendars, magazines and newsletters. 12. Admission lists; graduation lists. 13. Other materials as maybe approved by TUC. 4.4 File Formats (i) Only digital or digitized items will be accepted into the repository (ii) File formats that are platform-independent, vendor-independent, non-proprietary, stable, widely supported are recommended. (iii) The Repository will not accept executable binary files if alternatives are available (iv) TUC Institutional Digital Repository staff may convert to more appropriate formats any content that is in obscure or little-used formats for compatibility reasons. 4.5 Metadata Policy a. The metadata schema used throughout by TUC Institutional Digital Repository will be principally based on Dublin Core Metadata. b. Anyone may access the metadata free of charge. c. The metadata may be reused in any medium without prior permission for not‐for‐profit purposes provided the metadata identifier or a link to the original metadata record is given, and the repository is mentioned and should be cited as TUC Institutional Digital Repository. d. The metadata will not be re-used in any medium for commercial purposes without formal permission. 4.6 Policy concerning Use of Data 1. Anyone may access items in the repository for personal research or study, educational, or not‐for‐profit purposes without prior permission or charge, provided: i. The authors, title and full bibliographic details are credited, where available, and, ii. A hyperlink and/or Universal Resource Locator (URL) are given for the original metadata page, and the content is not changed in any way. 2. Full text items will not be sold commercially in any format or medium without formal permission of the copyright holders. 3. Some full text items are individually tagged with different rights permissions and conditions. 4. All users will be expected to use materials in the repository within the copyright limits. TUC library will therefore not be liable for any copyright violation arising from use of items in the repository. 5. The Repository is an online archive. It is not a publisher. 5.0 Selection, Retention, Replacement, Withdrawal and Deletion 5.1 Selection and Retention 1. Items produced as a result of research activity at TUC and deposited by an eligible depositor will be accepted and retained indefinitely in the TUC Institutional Digital Repository Unless: i. The item infringes on copyright or other rights. ii. The item is proven to include falsified research. iii. The item fails to meet legal requirements. iv. The item is in a format which cannot be stored or displayed satisfactorily. 2. If a depositor leaves the employment at TUC, their items will be retained in the TUC Institutional Digital Repository. 5.2 Replacement 1. A depositor may request that an item be replaced by another version if: i. An error is discovered in the content, or, ii. A published version of the item becomes available and needs to replace the unpublished version on the repository. 2. The replacement item may use the same record as the original. 5.3 Withdrawal from Open Access view 1. Items may be withdrawn from open access if necessary and placed in a closed access archive. Reasons for withdrawing items will include: i. Being found to violate the legal rights of a third party. ii. Proven copyright violation or plagiarism. iii. Legal requirements and proven violations. iv. National security. v. Falsified research. 2. The depositor may request the work(s) be withdrawn at any point in the future from open access view in TUC Institutional Digital Repository and stored as a closed access item. The final decision remains at the discretion of TUC. 3. TUC Institutional Digital Repository will retain the right to withdraw work(s) for professional or administrative reasons. 4. Withdrawal will be noted in the metadata of the record as one of the following: i. Withdrawn from view at request of the author. ii. Withdrawn from view at the University’s discretion. iii. Withdrawn from view by legal order. 5.4 Deletion Items will only be deleted from TUC Institutional Digital Repository if there are legal or University Intellectual Property Rights issues or other exceptional circumstances. 6.0 Publisher and Research Funder Policies 1. Our policy is compatible with publishers' copyright agreements as follows:  For all submitted items the Repository Administrator will check the Publisher's policy. Most policies are documented via the SHERPA/ROMEO database (http://www.sherpa.ac.uk/romeo.php) and Information Services will use this as a major support tool.  Many publishers will allow the peer‐reviewed final draft to be self‐archived, often specifying that a specific acknowledgement be used along with the self‐archived item. The Repository Administrator will ensure any such acknowledgements are included in the Repository.  Occasionally publishers allow their own final pdf version to be self‐archived, in these instances the Repository Administrator will contact the submitter to ask for the appropriate item version.  Occasionally publishers will not allow either the author's own final, post refereed version or the publisher's version to be self‐archived. In these instances the Repository Administrator will contact the submitter to inform them, and, if appropriate, recommend that the author's preprint version (pre‐refereed version) can be submitted instead if desired by the author. 2. For all submitted items, where Research Funder information is supplied, the Repository Administrator will check the Research Funder's policies as regards ensuring Open Access to research results and publications arising from their funding. Policies are documented via the SHERPA/JULIET data base (Research Funders Archiving Mandates and Guidelines http://www.sherpa.ac.uk/juliet/index.html) and Information Services will use this as a major support tool. Where possible, the Repository Administrator will fulfil any archiving requirements on behalf of the submitting author, or alternatively inform them of what they need do to fulfil the conditions of funding. 3. We do not require deposit of the full text of books or research monographs (does this let us off the hook, because of space)? 7.0 Preservation Policy 1. Items will be retained within TUC Institutional Digital Repository indefinitely. 2. TUC will endeavour to provide continued readability and accessibility of all items deposited in the Institutional Digital Repository. 3. In the event of TUC Institutional Digital Repository being closed down, Tangaza University College will make all reasonable endeavours to transfer the database to another appropriate archive subject to approval by the University Senate. 8.0 Legal and Policy Framework The Open Access policy will be interpreted in accordance with the following; i. The Constitution of Kenya 2010 ii. The Universities Act, 2012 iii. The Anti-Corruption and Economic Crimes Act, 2003 (very little in this ………..) iv. The Public officer Ethics Act, 2003 v. The Proceeds of Crime and Anti-Money Laundering Act 2009 vi. Books and Newspapers Act 2002 vii. Copyright Act 2001 viii. Stage and Plays Act 1998 ix. Industrial Property Act 2001 x. Information and Communications Act (Amendment) 2013 xi. Science and Technology Act 2010 xii. Trade Marks Act (Revised) 2009 xiii. Tangaza University College Student Handbook (current) xiv. Other Current Tangaza University College Policies as applicable 9.0 Administration The success of this policy depends on the commitment of the university to implement and actualize it. In this regard, the University Management has an obligation and responsibility to establish the supporting structures to ensure the implementation of the policy. 1. The Institutional Digital Repository (IR) activities will be coordinated by an IR administrator, who will report to the Chief Librarian, under the Office of the Deputy Principal for Academics. The Deputy Principal for Academics will appoint a repository committee to help and oversee the implementation of the repository. 2. The administrator will manage the repository and carry out the day to day functions. He or she will be responsible for: i. Verifying online submissions, validating and enhancing associated metadata, and ensuring research outputs are accurately displayed online. ii. Organizing copyright clearances to facilitate open access to research outputs wherever possible. 3. The ICT Directorate will be responsible for the data interchange and the maintenance of the systems and supporting infrastructure. 10.0 Disclaimer Tangaza University College Institutional Digital Repository is an online archive not a publisher. The repository administration checks all submissions for format, authors’ eligibility and adherence to the repository content policy. Depositors must agree to the Tangaza University College Deposit Agreement. Neither Tangaza University College nor the repository guarantees or warrants any Statements contained within items in the repository. Additionally, neither party will accept any Responsibility or liability for any possible mistakes contained therein. 11.0 Amendments The right to amend this policy will vest with the Academic Board of the Tangaza University College on advice from the Deputy Principal for Academics. APPENDIX 1 Deposit Agreement To efficiently administer the Tangaza University College Institutional Digital Repository and preserve its contents for long-term use, the University College requires certain permissions and warrants from a depositor or copyright owner. By accepting this agreement, a copyright owner still retains copyright to their work and does not give up the right to submit the work to Publishers or other repositories. If one is not a copyright owner, they represent that the Copyright owner has given them permission to deposit the work. By accepting this agreement, a depositor/copyright owner grants to the University the Non-exclusive right to reproduce, translate and distribute the submission, including the Descriptive information (metadata) and abstract, in any format or medium worldwide and royalty free, including, but not limited to, publication over the internet except as provided for by an addendum to this agreement. By depositing my/our work in the TUC Institutional Digital Repository, I/we agree to the following: I. This submission does not, to the best of my/our knowledge, infringe on anyone’s copyright or other intellectual property rights. II. If the submission contains material for which I/we do not hold copyright and that exceeds fair use, I/we have obtained the unrestricted permission of the copyright owner to grant the University the rights required by this agreement and that such third-party owned material is clearly identified and acknowledged within the text or content of the submission III. The submitted material does not contain any confidential information, proprietary information of others or export controlled information IV. There are no restrictions or required publication delays on the distribution of the submitted material by the University V. Once the submission is deposited in the repository, it remains there in perpetuity VI. The information I/we provide about the submitted material is accurate VII. That if copyright terms for, or ownership of, the submitted material changes, it is my/our responsibility to notify the University of these changes I/we understand that the Tangaza University College Institutional Digital Repository: i. May make copies of the submitted work available world-wide, in electronic format via any medium for the lifetime of the repository, or as negotiated with the repository administrator, for the purpose of open access. ii. May electronically store, translate, copy or re-arrange the submitted works to ensure its future preservation and accessibility within the lifetime of the repository unless notified by the depositor that specific restrictions apply. iii. May incorporate metadata or documentation into public access catalogues for the submitted works. A citation/s to the work will always remain visible in the repository during its lifetime. iv. Will not be under any obligation to take legal action on behalf of the depositor or other rights holders in the event of breach of intellectual property rights or any other right in the material deposited. v. Will not be under any obligation to reproduce, transmit, broadcast, or display the submitted works in the same format or software as that in which it was originally created. vi. May share usage statistics giving details of numbers of downloads and other statistics with Tangaza University College staff. While every care will be taken to preserve the submitted work, Tangaza University College is not liable for loss or damage to the work(s) or associated data while it is stored within the Institutional Digital Repository. Work(s) to be deposited: Title: ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………… Author(s): ………………………………………………………………………………………………………………………………………………………………………………………………………… Depositor’s Declaration I/we hereby grant to the Tangaza University College Institutional Digital Repository, a non-exclusive license on the terms outlined above. Name………………………………………………………………………………………………. Signature (s)……………………………………………………………………………………….. Date…………………………… Witnessed by Name……………………………………………………… (Chief Librarian) Signature………………………………………………… Date……………………………