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

2. 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?

3. Mandates
Who has a mandate?
Who has mandate plans?

4. What is a “mandate” The word “mandate” Policy?
Open Access policy
Publications policy
Research outputs policy
What is the aim of the policy?
OA?
IR filler?
Institutional promotion?

5. Set within institutional context
Linked to strategy
Linked to repository
Linked to REF
. . . what other links?

6. Who are the stakeholders?
Researchers
Repository Managers
. . . who else?
Who should “own” the idea?
Who should “own” the process?
Who should drive the execution of the mandate?

7. Why have a mandate? Harnad’s strategy of choice - why?
Arthur Sale - original study of deposit rates
Why are deposit rates higher?
Academics complying with policies?
Becomes part of the furniture over time?
Policies go with active advocacy and service?

8. Pushing at an open door?
2 Key Perspectives surveys - each found over 80% would “willingly comply”
Widely promoted view that authors willingly comply
Almost all academics favourable to OA in theory
But - anecdotal reports of resistance
The balance is in favour
dealing with resistance

9. Sticks and Carrots “Mandate” is a stick - can we make it a carrot?
What incentives are there for compliance?
money
power
status
conformity
eg Salford University: expectation in culture
What else?

10. Funders’ mandates Money attached - surely a driver?
Wellcome Trust running at 40% compliance
Do authors know - or care?
What does this say about authors’ attitudes?
What is the relationship between institutional and funders’ mandates?
Who manages possible clashes - the authors? you?

11. Who have mandates? International adoption Harvard MIT
Australian universities
And more - see ROARMap

12. Institutional Mandates - UK
Roehampton University
University College London
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

13. What is in a mandate? - UK All are an IR deposit mandate
All - where publishers let you do it
Often - combined with theses
Edinburgh - internal Db as well as IR
Nottingham - has fund to support OA
None mention sanctions
MIT - asks authors to retain copyright

14. Pity the researcher . . .

15. Researchers view from the past . . .
Public Funder
Publisher
Funder
Researcher
Funding
Institution

16. Researchers view from the past . . .
Public Funder
Publisher
Funder
Researcher
Funding
Institutional
Repository
Institution

17. Researchers view
Public Funder
Funder
Mandate
Researcher
Institution

18. Researchers view Public Funder Funder Mandate Researcher Mandate
Institution

19. Researchers view Public Funder Publisher Funder Mandate ? Open Access
with OA Option
Funder
Mandate ?
Open Access
Publisher
Researcher
Mandate
Institution

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

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

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

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

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

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

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

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

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

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

30. Researchers view from the past . . .
Public Funder
Publisher
Funder
Researcher
Funding
Institution

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

32. What do authors want to know
What do I have to do?
Are there restrictions on my publication route?
How can I deal with this as quickly as possible?
Where can I get help?
Mandates, repositories, open access, copyright - it all has to fit into this . . .

33. Integration Into workflows Institutional systems must share data
“Owners” of these systems must collaborate
Policies must have be aligned with institutional strategy, have purpose, support and consequences
Authors must be given services that support their needs and fit within their existing work-flows are far as possible

34. Compliance Who watches the researchers?
Is it part of the repository managers role to be compliance police?
If you are to monitor compliance -
what do you need to know?
who do you need to talk to?
how are you going to recognise compliance?

35. What do institutions need to do?
Establish major senior support for mandate
Create mandate - off the shelf?
Create support service for authors
Identify key compliance support person
Create systems for monitoring compliance
Integrate with funders’ requirements
To what extent are publishers’ wants a deciding factor?

36. Beyond content . . .
Mandates are a way of harmonising development across the institution
Can drive development process
Can support development process
Can engage academic body
Can engage service and administration
Engagement can lead to culture change

37. Bill Hubbard