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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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] ----------------------------------------------------