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

Researcher

Funder

Public Funder

Institution

Publisher with OA Option

Open AccessPublisher

Researchers view

Mandate

Researcher

Funder

Public Funder

Institution

Central/subjectRepository

Researchers view

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

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Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

Researchers view

Mandate

Funding

Mandate

Researcher

Funder

Public Funder

Institution

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

Bill Hubbard

bill.hubbard@nottingham.ac.uk

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Institutional Mandates and Compliance Bill Hubbard Director, RSP RSP Summer School: 2nd - 4th June...

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