open access policy workshop
TRANSCRIPT
Open access policy workshopIryna Kuchma, Open Access Programme Manager
FOURTH CODESRIA CONFERENCE ON ELECTRONIC PUBLISHING AND DISSEMINATION: The Open Access Movement and the Future of Africa’s Knowledge Economy, March 31, 2016, Dakar, Senegal
Attribution 4.0 International
OverviewIntroductions, your questions/issues
Open Access (OA) policy development in Africa: How to
Case study: the National Research Foundation (South Africa)
Open access (OA) is free, immediate, online access to the results of research, coupled with the right to use those results in new and innovative ways
Benefits of an OA policy: institutions
Collects and preserves the institution’s scientific output and disseminates it through the repositoryProvides the possibility of indexing and tracking the scientific output of the institution through Web search enginesMonitors the number of visits and use and collects data and indicators that can be used in institutional planning, and the search for sources of funding etc.
Benefits of an OA policy: institutions (2)
Provides opportunities for the use and re-use of the institution’s output for scientific purposes (CVs, publications, excellence reports, indicators, institutional websites, personal websites etc.)
Strengthens international communication and collaboration channels and the institution’s international profile
Benefits of an OA policy: researchers
Increases the visibility of, and showcases their research
Increases the usage of their research
Increases the impact of their research (citations)
Benefits of an OA policy: researchers (2)
Repository enables them to collect all their outputs in a safe, permanent location
Repository provides information on usage and impact
Repository provides personalised publication lists to be used in grant applications, CVs and when writing articles
University that doesn't know what papers its faculty publishes is like a factory that doesn't know what it produces
Bernard Rentier
An empty repository is useless;a partly filled repository is partly useless; there is a need for an institutional open access policy
Bernard Rentier
Don't impose, just inform researchers that only publications in the repository will be considered for evaluation
Bernard Rentier
Mandate, keep authors at the core, communicate permanently, be coherent, reduce constraints
Bernard Rentier
@ORBi_ULg – a personal workspace, provides statistics and has a widget to generate publications lists – content in personal/faculties webpages
Bernard Rentier
The policy came into effect in November 2008 and has become the most effective OA policy in the world at present, with 87% of the University’s research articles currently being deposited in the repository.Bernard Rentier
34% of researchers are very satisfied and 57% are satisfied with their OA repository.Bernard Rentier
“Putting research results in the public sphere makes science better & strengthens our knowledge-based economy. The European taxpayer should not have to pay twice for publicly funded research. That is why we have made OA to publications the default setting for Horizon 2020, the EU research & innovation funding programme."
Máire Geoghegan-Quinn, European Commissioner for Research, Innovation & Science (2010-2014)
OA is required by law in Argentina
in Mexico
and in Peru
Open Access policies: policy effectiveness
Alma Swan
OA policies: worldwide numbers
OA policies worldwide
Europe (389)
North Amer-ica (145)
Central & South Amer-
ica (34)
Africa (16) Asia (40)Oceania (39)
OA policymakers worldwide
Research funders (72)
Research institutions (461)
Research funder and institutions
(53)
Multiple research organisations (8)
Sub-units of institutions (69)
OA policy effectivenessROARMAP rebuild122 mandatory policies (institutions)Repository content measured Regression analysis carried out using policy criteria
OA policy conditions recorded in ROARMAP: original set of 13 Condition
Must deposit
Cannot waive deposit
Deposit immediately
Must make item OA
Cannot waive making item OA
Link deposit with research assessment / evaluation
Must make item OA immediately
Permitted embargo period specified (STEM)
Permitted embargo period specified (HaSS)
Must retain rights to make item OA
Cannot waive retention of rights
Age of mandatory policy
Requirement for open licensing
OA policy conditions: eliminated those with small numbers
Condition
Must deposit
Cannot waive deposit
Deposit immediately
Must make item OA
Cannot waive making item OA
Link deposit with research assessment / evaluation
Must make item OA immediatelyPermitted embargo period specified (STEM)
Permitted embargo period specified (HaSS)
Must retain rights to make item OA
Cannot waive retention of rights
Age of mandatory policy
Requirement for open licensing
OA policy conditions: working set of 6 policy conditions
Condition
Must deposit
Cannot waive deposit
Must make item OA
Cannot waive making item OA
Link deposit with research assessment / evaluation
Cannot waive retention of rights
Regression analysis
Statistical toolLooks at the relationships between variables in an experimentCan measure effect of more than one variable at a timeCan infer causal relationship (though care needed!)Correlation versus significanceIn this study we were looking for both
OA policy conditions: regression analysis
Condition Correlation with deposit rate
Must deposit ✔Cannot waive deposit ✔Must make item OA ✔Cannot waive making item OA ✔Link deposit with research assessment / evaluation ✔Cannot waive retention of rights ✔
Correlation with deposit action
Policy criterion Positive correlation
Significant correlation
Must deposit ✔ ✔Cannot waive deposit ✔ ✔Link deposit to research evaluation ✔ ✔Must make deposit Open Access ✔Cannot waive making item Open Access ✔Where policy stipulates authors should retain relevant rights, this cannot be waived
✔
Significant correlations with deposit rate
Must depositCannot waive depositResearch evaluationMust make deposit Open AccessCannot waive making item Open AccessWhere rights are retained, this cannot be waived
Research evaluationUniversities with institutional repositories should require deposit in the repository for all research articles to be considered for promotion, tenure, or other forms of internal assessment and review.
Research evaluation (2)Similarly, governments performing research assessment should require deposit in OA repositories for all research articles to be reviewed for national assessment purposes. Neither policy should be construed to limit the review of other sorts of evidence, or to alter the standards of review.
OA mandates worldwide
Europe (237; 62%)
North Amer-ica (75; 19%)
Central & South Amer-ica (18; 5%)
Africa (10; 3%)
Asia (24; 6%)Oceania (20; 5%)
OA policies with the significant criteria18 policies5 funders13 institutions
Funders
South Africa: National Research Foundation of South AfricaEuropean Commission: Horizon 2020 policyAustria: FWF (Fonds zur Foederung der Wissenschaftlichen Forschung)UK: HEFCE (Higher Education Funding Councils)US: NIH (National Institutes of Health)
Research institutionsGhent University (Belgium)INRIA (France)Ifremer (France)Laboratoire de psychologie et neurosciences cognitives (France)Pwani University (Kenya)Saint-Loius University Brussels (Belgium)Universidade do Minho (Portugal)Universita degli studi di Trieste (Italy)University of Liege (Belgium)University of Luxembourg (Luxembourg)University of Mons (Belgium) University of Reading (UK)University of Strathclyde (UK)
Highest deposit rates (research-intensive institutions*)
Institution Number of articles published 2011-2013
% articles deposited in the repository
University of Liege (Belgium) 4240 87 %
Universidade do Minho (Portugal) 3021 62 %
University of Pretoria (South Africa) 3335 60 %
Queensland University of Technology (Australia)
3558 49 %
* Published more than 3000 articles in the 3-year test period
Other things that help policy successPolicy champion
Library/Research Office activism in support of the policyDepartment/faculty strategyTraining programmePromotional events (e.g. Open Access Week)Promotional materialsTechnical tools (e.g. impact tools, etc)Other suggestions to share
ReferencesROARmap: http://roarmap.eprints.org/ PASTEUR4OA/Advocacy Resources http://www.pasteur4oa.eu/resources PASTEUR4OA Data Visualisations http://pasteur4oa-dataviz.okfn.org/ Ten years on from the Budapest OA Initiative: setting the default to open: http://bit.ly/Q2ucDE
References (2)Policy Guidelines for the Development and Promotion of OA by Alma Swan commissioned by UNESCO: http://bit.ly/HnibYcGood practices for university OA policies by Stuart Shieber & Peter Suber: http://bit.ly/1l9VDdW
