Institutional Policies and Processes for Mandate Compliance Research in the Open: How Mandates Work in Practice RSP-RIN Event, RIBA, May 2009 Bill Hubbard SHERPA and RSP.

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Transcript Institutional Policies and Processes for Mandate Compliance Research in the Open: How Mandates Work in Practice RSP-RIN Event, RIBA, May 2009 Bill Hubbard SHERPA and RSP.

Institutional Policies and Processes
for Mandate Compliance
Research in the Open:
How Mandates Work in Practice
RSP-RIN Event, RIBA, May 2009
Bill Hubbard
SHERPA and RSP Manager
Stakeholders in dissemination process
Research funders
Public
Academics
• authors
• researchers
Institutions
• research managers
• libraries
Publishers
direct money out of system
direct money into system - £ thousands
Scale of investment
12
10
8
6
4
2
time - months
Public investment
Publisher’s investment/ income
e.g. £300,000 over 24 months
e.g. charge of £1,800, over 3 month
publication process
There are other pressures . . .
Pressures on current system
• peer-reviewers availability
• rising prices of journals & falling budgets
• growing need for different forms of scholarly
communication - more complex outputs, connections
• current and foreseeable financial difficulties
• public need for highest value-for-money
• changing attitudes to and expectations of information
• open access
Current system is not stable
Moving from the current system
Question of how we change - not if
Concern of disrupting current system
• research has to continue seamlessly
Reports on Open Access Publishing models
• Wellcome Trust, RIN, Houghton
Work on repositories as supplement to
publication
• arXiv use for 15 years, PubMed Central, growth of
IRs, PEER
Mandates - perspectives
Mandates have a value-added basis with fast
delivery of benefits for dissemination
but also Mandates are a way of harmonising process
•
•
•
•
can drive development process
can support development process
engage academic body
engagement can lead to self-mandating
Seamless development
Need smooth transition
• academic habits and workflows
• research dissemination and discovery
• research process and management
Need integrated processes
• relationship of repositories/ publishing/value-added
services e.g. text mining
Need integrated support
• consistent and authoritative information from all
stakeholders at point of need
Researchers view
Public Funder
Funder
Mandate
Researcher
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Researcher
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Institutional
Repository
Institution
Researchers view from the past . . .
Public Funder
Publisher
Funder
Funding
Researcher
Institution
Researchers view from the past . . .
Public Funder
Publisher
Funder
Funding
Researcher
Institutional
Repository
Institution
What do authors need to know
What do I have to do?
What restrictions are there on my publication
route?
How do I comply?
Where can I get help?
First step - Compliance
How can funders improve compliance?
At the same time, how can authors be
supported in complying?
Repositories in Russell &1994 Groups (UK)
University of Bath
Birkbeck
University of Birmingham
University of Bristol
University of Cambridge
Cardiff University
University of Durham
University of East Anglia
University of Edinburgh
University of Essex
University of Exeter
University of Glasgow
Goldsmiths
Imperial College
King's College London
Lancaster University
University of Leeds
University of Leicester
University of Liverpool
Loughborough University
LSE
University of Manchester
University of Newcastle
University of Nottingham
University of Oxford
Queen Mary
With others, effective coverage of the UK
HE research base . . .
Queen’s University
University of Reading
Royal Holloway
University of St Andrews
University of Sheffield
SOAS
University of Southampton
University of Surrey
University of Sussex
University of Warwick
UCL
University of York
For support staff
Compliance support changes relationship with
author for the better
Produces material for institutional repository
and subsequent value-added services and
internal and public re-use
Provides focus for promotion of service, rather
than concept of open access
For funders
Have a body of staff directly in touch with your
authors
A discrete body to inform of changes to
conditions, policies etc for cascade
Compliance checkers with their own motivation
for ensuring OA outputs
Increase compliance rates and thereby open
access to funded research
For institutions
Get a more complete picture of research output
from the institution
Ensure compliance with funders’ requirements
as competitive advantage for future funding
Enhance research reputation for efficiency and
management
Support authors in their work within the
institution
What do institution staff need to know?
Who is in receipt of a grant
From which funder
Funder’s policies
Duration of grant
Compliance history
Information-set for grant
• grant number as key?
What else?
What do institutions need to do?
Identify key compliance support person
• e.g. repository manager, advocacy officer, research
support officer, etc
Create policies for recognition and recording of
compliance
Ensure authors can access integrated support
advice and support service
Proactively contact researchers as they write
up and ensure compliance
Liaise with funders
What do funders need to know?
Who is the compliance support person in each
institution?
How can they be contacted?
How can they be heard?
Open Access output compliance from funded
project - when and where and with what?
What do funders need to do?
Ensure that compliance support officers have
the information they need
• who, what, when, requirements
Share compliance information
Active liaison with institutional support staff as a
body
Need to engage more closely with institutional
repositories: there are mutual benefits
Actions . . .
We will support this
As RSP we will compile a list of contacts as
compliance support for each institution and
make this available to funders that register with
us.
We will work with funders to try and define the
information that compliance supporters need
Running SHERPA services, we can add this to
JULIET
Actions 2 . . . .
Liaise with stakeholders for us all to:
Provide consistent and authoritative information
from all stakeholders at point of need
Share information - on grants and outputs
Standardise metadata used
Define authority lists for information
Collaborate on support given to authors
...
Actions 3 . . .
Establish close working relationships between
central and institutional repositories
Establish relationships between publishers and
repositories
Ensure acknowledgement of each stakeholders
role and input
Jointly provide a system to publish or depositonce, use many and maybe archive a few times
Bill Hubbard
[email protected]
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