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OpenAIRE Open Access Week webinar, 27 October 2016
PASTEUR4OA: policy alignment and effectiveness
Alma Swan
Project consortium
Institution Country
National Documentation Centre (EKT) GR
Enabling Open Scholarship (EOS) BE
Universid...
The aim
To stimulate and support
Open Access policies
across Europe, aligned to
H2020
NW region funders meeting| 10/02/201...
The means
• Engage policymakers (directly and indirectly
through Network)
• The Knowledge Net- A coordinated network
of ex...
ROARMAP rebuild
 Sought out existing policies that were not
registered in ROARMAP to ensure
comprehensiveness
 Developed...
Open Access policies worldwide
Europe (468)
North America
(157)
Central & South
America (40)
Africa (19)
Asia (45)
Oceania...
Number of OA policymakers worldwide
Research funders
(79)
Research
institutions (553)
Research funder
and institutions
(54...
Policy effectiveness study
 122 mandatory policies (institutions)
 Repository content measured
 Regression analysis car...
Policy conditions recorded in ROARMAP:
original set of 13
Condition
Must deposit
Cannot waive deposit
Deposit immediately
...
Policy conditions: eliminated those with
small numbers > working set of 6 policy
conditions
Condition
Must deposit
Cannot ...
Regression analysis
 Statistical tool
 Looks at the relationships between variables in
an experiment
 Can measure effec...
Significant correlation with deposit
action
Policy criterion Positive
correlation
Significant
correlation
Must deposit ✔ ✔...
Significant correlations with deposit rate
 Must deposit
 Cannot waive deposit
 Research evaluation
 Must make deposit...
Policies with the significant criteria
 25 policies
 5 funders
 20 institutions
Must deposit
Cannot waive deposit
Resea...
Funders
 European Commission: Horizon 2020 policy
 Austria: FWF (Fonds zur Foederung der Wissenschaftlichen
Forschung; A...
Research institutions
 Adiyaman Universitesi (Turkey)
 Arts et Metiers Paris Tech
 Ghent University (Belgium)
 INRIA (...
Highest deposit rates (research-
intensive institutions*)
Institution Number of articles
published 2011-
2013
% articles
d...
Highest deposit rates (research-
intensive institutions*)
Institution Number of
articles
published 2011-
2013
% articles
d...
Other things that help policy success
 Policy champion
 Library activism in support of the policy (Research
Office?)
 D...
Thank you
almaswan3@gmail.com
Skype: almaswan
Tel: +44 1392 879702
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Alma Swan - PASTEUR4OA: Policy alignment and effectiveness

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Presentation given as part of OpenAIRE Webinar "Policies for Open Science: webinar for research managers and policy makers", Open Access Week 2016 (27.10.2016)

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Alma Swan - PASTEUR4OA: Policy alignment and effectiveness

  1. 1. OpenAIRE Open Access Week webinar, 27 October 2016 PASTEUR4OA: policy alignment and effectiveness Alma Swan
  2. 2. Project consortium Institution Country National Documentation Centre (EKT) GR Enabling Open Scholarship (EOS) BE Universidade do Minho PT University of Oslo (CRIStin) NO EIFL NL euroCRIS NL Hungarian Academy of Sciences (HAS) HU Politecnico di Torino IT LIBER NL SPARC Europe NL Jisc UK Hacettepe University TR Open Knowledge Foundation (OKF) UK Fonds National de Recherche Scientifique (FNRS) BE Research Council of Lithuania LT
  3. 3. The aim To stimulate and support Open Access policies across Europe, aligned to H2020 NW region funders meeting| 10/02/2016| Brussels
  4. 4. 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
  5. 5. 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
  6. 6. Open Access policies worldwide Europe (468) North America (157) Central & South America (40) Africa (19) Asia (45) Oceania (40)
  7. 7. Number of OA policymakers worldwide Research funders (79) Research institutions (553) Research funder and institutions (54) Multiple research organisations (9) Sub-units of institutions (74)
  8. 8. Policy effectiveness study  122 mandatory policies (institutions)  Repository content measured  Regression analysis carried out using policy criteria  Set out to look at deposit
  9. 9. 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
  10. 10. Policy conditions: eliminated those with small numbers > 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
  11. 11. 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
  12. 12. 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 ✔
  13. 13. 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
  14. 14. Policies with the significant criteria  25 policies  5 funders  20 institutions Must deposit Cannot waive deposit Research evaluation
  15. 15. 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)
  16. 16. 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)
  17. 17. 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
  18. 18. 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
  19. 19. 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
  20. 20. Thank you almaswan3@gmail.com Skype: almaswan Tel: +44 1392 879702 Logo area

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