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Institutional Policies and Processes for Mandate Compliance
Bill HubbardSHERPA and RSP Manager
Research in the Open: How Mandates Work in PracticeRSP-RIN Event, RIBA, May 2009
Stakeholders in dissemination process
Research funders
Public
Academics• authors• researchers
Institutions• research managers• libraries
Publishers
Scale of investment
Public investmente.g. £300,000 over 24 months
12
Publisher’s investment/ income e.g. charge of £1,800, over 3 month publication process
2
4
6
10
time - months
8
dire
ct m
on
ey
into
sys
tem
- £
th
ou
san
ds
dire
ct m
on
ey
ou
t o
f sy
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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
Researcher
Funder
Public Funder
Institution
Researchers view
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
?
Researchers view
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Researcher
Funder
Public Funder
Institution
Publisher
Researchers view from the past . . .
Funding
Researcher
Funder
Public Funder
Institution
Publisher
Institutional Repository
Researchers view from the past . . .
Funding
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
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
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 . . .
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 deposit-once, use many and maybe archive a few times
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