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Open Access Progress and Promise in the CGIAR Consortium
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Open Access Progress and Promise in the CGIAR Consortium


The presentation provided an overview and update on the CGIAR Consortium's progress in Open Access, including some of the challenges and opportunities of advocating for Open Access across the …

The presentation provided an overview and update on the CGIAR Consortium's progress in Open Access, including some of the challenges and opportunities of advocating for Open Access across the Consortium.

The webinar was presented by Piers Bocock, Director of Knowledge Management and Communication at the CGIAR Consortium. He is responsible for overseeing the development and implementation of the Consortium’s Knowledge Management, Communications, and IT strategies, leveraging best practices in these disciplines to help the Consortium deliver on its mandate.

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  • 1. CGIAR Open Access: Progress and Promise Piers Bocock CIARD Webinar April 10, 2014
  • 2. Overview • CGIAR: Who we are • CGIAR’s Commitment to Open Access • Progress • Next Steps • Advocacy – challenges and opportunities • Questions and Answers
  • 3. CGIAR: Who we are
  • 4. The CGIAR Consortium includes 15 Research Centers
  • 5. The CGIAR Consortium leads 16 cross-cutting Research Programs
  • 6. CGIAR and its partners aim for impact in four “System Level Outcomes”
  • 7. 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.)]”.
  • 8. 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.
  • 9. Keys to making OA a reality Policy Funding Flexible Guidelines Center/CRP Implementation Plans Center/CRP Implementation CG-level metadata harvesters/ 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
  • 10. Open Access touches everyone Open Access Implementation Publications Data Management ICT Human Resources Legal/IPResearchers Partners Communications Knowledge Management/ Sharing
  • 11. 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
  • 12. CGIAR’s Open Access Policy: Aspirational and Aggressive Types of Information Products Deposit Schedule Peer-reviewed versions of journal articles Ideally, at the time of publication Latest: 6 months from publication Reports, conference papers, policy briefs, working papers As soon as possible Latest: 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 possible Latest: 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 possible Latest: within 3 months of completion Metadata As soon as possible Latest: before or on publication of the information product
  • 13. 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.
  • 14. 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.
  • 15. 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
  • 16. 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
  • 17. 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.
  • 18. 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.
  • 19. 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.
  • 20. 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.
  • 21. 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
  • 22. Next Steps • May: (Assuming funding approval) – Start on – 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.)
  • 23. 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
  • 24. 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 • Way to engage/include GODAN • December: – Progress Reporting
  • 25. The CGIAR Open Access Initiative
  • 26. Challenges and Opportunities of Advocacy Open Access Advocacy Publications Data Management ICT Human Resources Legal/IPResearchers Partners Communications Knowledge Management/ Sharing
  • 27. 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
  • 28. 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.