OpenAIRE Open Access Week webinar, 27 October 2016

PASTEUR4OA: policy alignment and effectiveness

Alma Swan

Project consortiumInstitution Country

National Documentation Centre (EKT) GREnabling Open Scholarship (EOS) BEUniversidade do Minho PTUniversity of Oslo (CRIStin) NOEIFL NLeuroCRIS NLHungarian Academy of Sciences (HAS) HUPolitecnico di Torino ITLIBER NLSPARC Europe NLJisc UKHacettepe University TROpen Knowledge Foundation (OKF) UKFonds National de Recherche Scientifique (FNRS) BEResearch Council of Lithuania LT

The aim

To stimulate and support Open Access policies

across Europe, aligned to H2020

NW region funders meeting| 10/02/2016| Brussels

The means

• Engage policymakers (directly and indirectly through Network)

• The Knowledge Net- A coordinated network of expert organizations across Europe to work together- to promote, coordinate and contribute to aligning policies

• Develop evidence-based policy advocacy materials and good practice case studies

ROARMAP rebuild Sought out existing policies that were not

registered in ROARMAP to ensure comprehensiveness

Developed a new, detailed classification scheme

Classified all policies according to this scheme

Re-launched with 660+ policies fully classified

Open Access policies worldwide

Europe (468)

North Amer-ica (157)

Central & South Amer-

ica (40)

Africa (19) Asia (45) Oceania (40)

Number of OA policymakers worldwide

Research funders (79)

Research institutions (553)

Research funder and institutions

(54)

Multiple re-search organ-

isations (9)

Sub-units of institutions (74)

Policy effectiveness study

122 mandatory policies (institutions) Repository content measured Regression analysis carried out using policy

criteria Set out to look at deposit

Policy conditions recorded in ROARMAP: original set of 13

ConditionMust depositCannot waive depositDeposit immediatelyMust make item OACannot waive making item OALink deposit with research assessment / evaluationMust make item OA immediatelyPermitted embargo period specified (STEM)Permitted embargo period specified (HaSS)Must retain rights to make item OACannot waive retention of rightsAge of mandatory policyRequirement for open licensing

Policy conditions: eliminated those with small numbers > working set of 6 policy conditions

ConditionMust depositCannot waive depositMust make item OACannot waive making item OALink deposit with research assessment / evaluationCannot waive retention of rights

Regression analysis

Statistical tool Looks at the relationships between variables in

an experiment Can measure effect of more than one variable at

a time Can infer causal relationship (though care

needed!) Correlation versus significance In this study we were looking for both

Significant 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 deposit Cannot waive deposit Research evaluation Must make deposit Open Access Cannot waive making item Open Access Where rights are retained, this cannot be waived

Policies with the significant criteria

25 policies 5 funders 20 institutions

Must depositCannot waive depositResearch evaluation

Funders

European Commission: Horizon 2020 policy Austria: FWF (Fonds zur Foederung der Wissenschaftlichen

Forschung; Austrian Science Fund ) UK: HEFCE (Higher Education Funding Councils) US: NIH (National Institutes of Health) South Africa: National Research Foundation of South Africa Canada: International Development Research Centre (IDRC)

Research institutions Adiyaman Universitesi (Turkey) Arts et Metiers Paris Tech Ghent University (Belgium) INRIA (France) Ifremer (France) International Hellenic University (Greece) Laboratoire de psychologie et neurosciences cognitives (France) Pwani University (Kenya) Saint-Louis University Brussels (Belgium) Universidade do Minho (Portugal) Universita degli studi di Trieste (Italy) University of Birmingham (UK) University of Bouira (Algeria) University of Liege (Belgium) University of Luxembourg (Luxembourg) University of Mons (Belgium) University of Reading (UK) University of Southampton (UK) University of Strathclyde (UK) University of Trento (Italy)

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

Highest deposit rates (research-intensive institutions*)

Institution Number of articles

published 2011-2013

% articles deposited in

the repository

Policy has all critical criteria?

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 success

Policy champion Library activism in support of the policy (Research

Office?) Department/faculty strategy Training programme Promotional events (e.g. Open Access Week) Promotional materials Technical tools (e.g. impact tools, etc) Other suggestions to share

Thank you

almaswan3@gmail.com Skype: almaswanTel: +44 1392 879702

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