CGIAR Open Access: Progress and Promise

Piers BocockCIARD Webinar

April 10, 2014

Overview

• CGIAR: Who we are• CGIAR’s Commitment to Open Access• Progress• Next Steps• Advocacy – challenges and opportunities• Questions and Answers

CGIAR: Who we are

The CGIAR Consortium includes 15 Research Centers

The CGIAR Consortium leads 16 cross-cutting Research Programs

CGIAR and its partners aim for impact in four “System Level Outcomes”

CGIAR’s Commitment to Open Access

• In April 2012 the CGIAR Consortium Board and the 15 CGIAR Consortium Research Centers adopted the CGIAR Principles on the Management of Intellectual Assets

• Of particular interest is Article 6.1 of the CGIAR IA Principles which provides that:

“The Consortium and the Centers shall promptly and broadly disseminate their research results, subject to confidentiality as may be associated with [certain] permitted restrictions, or subject to limited delays to seek IP Rights [(patents, etc.)]”.

Progress towards Open Access

April 2012: CGIAR IA Principles approved

Sep 2012: KM Workshop Identifies Need for OA Policy a top priority

Nov 2012: Open Access Working Group formed

Jan-Sep 2013: OA Policy developed & shared/revised X3

Oct/Nov 2013: CB and all Centers approve OA Policy

Nov 2013: $5M commitment for OA; FC approves OA CN, requests full proposal

Jan/Feb 2014: FO Provides proposal feedback; proposal revised

Oct 13-Jan 14: OA Guidelines v1 and v2 drafted and shared.

Keys to making OA a reality

Policy

Funding

Flexible Guidelines

Center/CRP Implementation

Plans

Center/CRP Implementation

CG-level metadata harvesters/

open.cgiar.org

Partner interoperability

Documentation, Monitoring &

Evaluation

Done. Approved by Consortium Board and all 15 Centers

In progress. Fund Council decision expected May 8.

In progress. V3 ready for review by April

Partner Engagement

Open Access touches everyone

Open Access Implementation

Publications

Data Management

ICT

Human Resources

Legal/IPResearchers

Partners

Communications

Knowledge Management/

Sharing

Open Access Policy

Status: Complete• Open Access and Data Management Policy drafted, circulated,

revised based on feedback (January-September 2013).• Received approval from CGIAR Consortium Board (October 2013).• Received approval from all 15 Centers, making it mandatory

(November 2013).• Final policy available at www.cgiar.org/open.

CGIAR’s Open Access Policy: Aspirational and AggressiveTypes of Information Products Deposit Schedule

Peer-reviewed versions of journal articles

Ideally, at the time of publicationLatest: 6 months from publication

Reports, conference papers, policy briefs, working papers

As soon as possibleLatest: within 3 months of completion

Books and book chapters Negotiate with publishers to make available as soon as possible

Data and data sets As soon as possibleLatest: within 12 months of completion of data collection or appropriate project milestone, or within 6 months of publication of the information products underpinned by that data, whichever is sooner

Video, audio, images Within 3 months of completion

Computer software As soon as possibleLatest: within 3 months of completion

Metadata As soon as possibleLatest: before or on publication of the information product

Open Access Implementation Guidelines

Status: In development• Initial draft developed and shared in

October 2013; second draft released January 2014.

• 2 rounds of consultation have taken place, but we still don’t have it right. Need to draft v3, and consider significant revision.

• Next version expected April/May 2014.

Open Access Implementation Guidelines

Next steps: • Re-draft from 40-page document into shorter

more generic Implementation Guidelines that include a few clear essential actions (“Essential Elements”) complemented by an online “OA Implementation Support Pack” of generic guidelines, samples, templates, suggestions, etc. that continually grows.

• Incorporate feedback from CGIAR KM Leaders received in March in Lima.

• Aim to have completed and shared for Center review/approval by May 2014.

Open Access Implementation Guidelines

Essential Elements:• Centers to develop their own Center-specific

OA/data management implementation plans which shall at a minimum:– Comply with CGIAR OA Policy– Address ethics and governance– Identify core metadata– Include perpetual access principles

• Use open repositories used for final information products which:– Use at a minimum CG Core Metadata– Relate to Dublin Core– Are harvestable and machine-readable– Are measurable

Open Access Implementation Guidelines

Support Pack Contents: • Licensing contract language• List of recommended OA Journals• List of predatory journals• Suggestions re: “gold”, “green” and self-

archiving options• List of potential repository platforms• Sample ethics guidance• List of interoperable standards• Sample OA-incentivizing HR contracts• List of controlled vocabularies (e.g. Agrovoc)• Sample workflows• Promising practices

Roles and Responsibilities

Entity Responsibilities

Consortium Office Policy; Base guidelines, and curation of ongoing support pack; M&E; (partial) resource mobilization and funding; negotiation of CG-wide OA-related opportunities – platforms, licenses, journals, etc.

Centers Development of Center-specific OA implementation plans, including publications, data management, etc. CRP Lead Centers develop CRP-specific OA implementation plans. Reporting to CO.

CRPs Compliance through Lead Center OA Plans. Work with partners towards compliance.

Open Access Working Group

Serve is core advisory group to draft and oversee guidance, implementation, reporting, and other processes. Review and make funding recommendations.

Data Management Taskforce

Review/approve CG Core Metadata; collect and recommend other appropriate standards.

Draft Metadata Schema

• Agreement on, and use of, core metadata schema will be the glue that binds CGIAR’s Open Access together.

• Draft metadata elements (“CG Core”) drafted; will be reviewed by Data Management Taskforce

• CG Core based on Dublin Core and OpenAIRE• 15 Core elements• These are core minimum metadata elements

which will ensure harvestability and interoperability.

Open Access Funding

Status: In Progress• $5M committed in November 2013.• Fund Council approved Concept Note in

November 2013; requested full proposal.• Full 5-year proposal for $15.4M submitted to

CGIAR Fund Council March 2014; decision expected in May 2014.

Open Access Funding

Proposal Components:• 2 Phases (2 years, 3 years) over 5 years.• Goal: all Centers/CRPs compliant w/i 5 years.• Distributed model of interoperable repositories

residing at Centers.• Identification and adoption of common

standards is foundation for everything.• Seed funding to provide for technical and

human capacity building.• Funding proposed for some key staff to sit at

CRPs as well as at Consortium Office.• Bulk of funding is requested to support

Centers/CRPs with capacity-development sub-grants.

Next Steps

• April:– Establish Open Access Implementation Working

Group– Establish Data Management Working Group– Finalize v3 of Implementation Guidelines for

Center review– Draft funding guidelines/procedures– Start working on Advocacy content/messaging– Start identifying promising practices– Close baseline survey– Participate in GODAN/CIARD meeting in Rome

Next Steps

• May: (Assuming funding approval)– Start on open.cgiar.org – publications metadata repository

– Linking to “suitable” repositories/identifying needs to make existing repositories “suitable”

• Start on metadata repository • Start on spatial commons platform

(Potential use case: AATP VIP?)• What else? (social platforms,

partner platforms/content, etc.)

Next Steps

• June:– Core content/messaging for Advocacy

Campaign, for base “deck” (and other channels) messaging for use by ambassadors through: CoP meetings, Centers, Webinars, Roadshows, CRP Directors meeting

– Identifying promising practices/examples• Build the evidence base• Evidence/promise of open access for

ultimate beneficiaries

Next Steps

• September:– Start on specifics such as:

• Metrics• Evaluation – engage with CG community

of evaluators• Incentives

•  October:– Design impact assessment– Open Access Week event

• Way to engage all Centers/CRPs• Launch beta version of open.cgiar.org• Way to engage/include GODAN

•  December:– Progress Reporting

The CGIAR Open Access Initiative

Challenges and Opportunities of Advocacy

Open Access Advocacy

Publications

Data Management

ICT

Human Resources

Legal/IPResearchers

Partners

Communications

Knowledge Management/

Sharing

Challenges and Opportunities of Advocacy

Challenges Opportunities

There was no Open Access policy Develop a Consortium-wide OA Policy

Moving towards OA requires resources Funders are willing to support OA

Centers don’t know how to implement Co-create Implementation Guidelines

OA deposit policy is aggressive They’re aspirational; be leaders

Need to coordinate with other AR4D orgs GODAN/CIARD

Open Access touches everyone Develop a comprehensive campaign

Will require Culture Change CGIAR “culture” could use a shake-up

Reaching multiple target audiences Creation of Open Access “Ambassadors”

Making the case CIARD Advocacy Toolkit, GODAN

Research Project Management

• GOAL: Develop a Harmonized Research Management (RM) Platform for planning, reporting, monitoring, and providing for public access to CGIAR research.

• Task Force created: Michael Marus (Chair), Joanna Kane-Potaka (ICRISAT), Ravi Prabhu (ICRAF), John McIntire (ILRI), Peter McCornick (IWMI), Robert Chapman (Bioversity), Luis Anibal Solórzano Cárdenas (CGIAR Consortium), Tania Jordan (CGIAR Consortium)

• Google group established, 1st virtual meeting scheduled. • Working on gathering/identifying concrete RM requirements at all

levels Consortium, Center, CRP, Donor, Partner• Working on identifying best-of-breed solutions for possible scaling to

CRPs

Thank You.