institutional mandates and compliance bill hubbard director, rsp rsp summer school: 2nd - 4th june...
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Institutional Mandates and Compliance
Bill HubbardDirector, RSP
RSP Summer School: 2nd - 4th June 2010, Madingley Hall, Cambridge
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
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
Researcher
Funder
Public Funder
Institution
Researchers view
Mandate
Researcher
Funder
Public Funder
Institution
Researchers view
Mandate
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
?
Researchers view
Mandate
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
Researcher
Funder
Public Funder
Institution
Publisher with OA Option
Open AccessPublisher
Central/subjectRepository
Institutional Repository
?
?
Researchers view
Mandate
Funding
Mandate
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
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