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

Stakeholders in dissemination process Research funders Public Academics authors researchers Institutions research managers libraries Publishers

Scale of investment Public investment e.g. £300,000 over 24 months 12 Publishers investment/ income e.g. charge of £1,800, over 3 month publication process time - months 8 direct money into system - £ thousands direct money out of system

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 Access Publisher ? Researchers view Mandate

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository 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 Queens 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 Funders 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 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

Bill Hubbard