Transcript Institutional Mandates and Compliance RSP Summer School: 2nd - 4th June 2010, Madingley Hall, Cambridge Bill Hubbard Director, RSP.

Institutional Mandates and
Compliance
RSP Summer School:
2nd - 4th June 2010,
Madingley Hall, Cambridge
Bill Hubbard
Director, RSP
Mandates
Institutional Open Access Mandates are seen by some
as the panacea that will finally cure the deposit, incentive
and engagement problems: but what are mandates and
how effective can they be? This session explores what
institutional mandates are - their drivers, incentives and
sanctions - and how these have to be embedded within
workflows. Institutional mandates are placed in a broader
policy context and roles examined: how far should
repository managers go in being the "compliance
police"? Is compliance checking a change in the
libraries relationship with academics - or an institutional
duty?
What is the point of an Institutional Mandate?
Institutional Mandates - UK
Roehampton University
University College London (UCL)
University of Edinburgh
University of Leicester
University of Salford
University of Westminster
proposed Aston University
source: ROARMap 27/05/10
To this can be added
University of Nottingham
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 from the past . . .
Public Funder
Publisher
Funder
Funding
Researcher
Institution
Researchers view from the past . . .
Public Funder
Publisher
Funder
Funding
Researcher
Institutional
Repository
Institution
Researchers view
Public Funder
Funder
Mandate
Researcher
Institution
Researchers view
Public Funder
Funder
Mandate
Researcher
Mandate
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Researcher
Mandate
Institution
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
Researchers view
Public Funder
Publisher
Funder
with OA Option
Mandate
?
Open Access
Publisher
Funding
Researcher
Central/subject
Repository
?
Mandate
Institution
Institutional
Repository
What do authors want to know
What do I have to do?
Are there restrictions on my publication route?
Where can I get help?
First step - Compliance
How can funders improve compliance?
At the same time, how can authors be
supported in complying?
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
Bill Hubbard
[email protected]
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