The document summarizes the UK Department for International Development's (DFID) draft open and enhanced access policy for research funded by its Research and Evidence Division (RED). The policy aims to increase the availability and use of research outputs by requiring outputs to be made openly accessible online and stored in repositories. It outlines specific requirements for different types of outputs, such as peer-reviewed articles, reports, datasets and software. The document concludes by asking how researchers would react to this policy and if they would have any objections that would need to be addressed.

1. Opening access to DFID research Matthew Harvey, Research and Evidence Division (RED), UK Department for International Development (DFID) Slide NOT NECESSARILY THE VIEWS OF DFID!

2. Outline Introduction to DFID, RED and its research portfolio DFID funded open access initiatives Key features of the draft RED Open and Enhanced Access policy > Key Questions: If your funder insisted you followed this policy: how would you react? would you have any objections or difficulties? what would need to change to satisfy those objections or overcome those difficulties? Slide

3. DFID basics Activities framed by the MDGs Results focused £7,689m (US $12bn) in 2010/11 55% bilateral, 42% multilateral assistance 44% of money spent in Africa, 26% Asia Increasingly evidence informed £235m ($371m) spent on research and rising Increasing number of projects with developing country lead Slide

4. Allocation of research budget by theme (2009-2011) Slide

5. Research Uptake Team and open access RU Team funds programmes to: understand the drivers and constraints to the use of evidence in policy facilitate the flow of research information amongst researchers and decision makers portals, training opportunities, media networks, manuals, toolkits, access to journals and publishing support Some of these programmes dabble in open access E.g. PERii (Programme for the Enhancement of Research Information) run by INASP Slide

6. PERii and open access (http://www.inasp.info/) Journals Online (JOL) platform for editors to publish their journals online over 80% of JOLs content freely available in full-text AJOL currently hosts 414 journal titles Library and repository development training in creating open access repositories training in open source electronic library management systems Inclusion and visibility of developing countries within the open access community small grants for Open Access Week events; 2011 winners include organisations in Botswana, Kenya, Lesotho, Nigeria, Tanzania, Togo, Uganda, Zimbabwe Portals, signposting and raising the visibility of open access resources Slide

7. RED research outputs Slide

8. RED research outputs Research projects also produce reports, datasets, pictures, computer software, websites, policy briefs, … Roughly 60% of journal articles published 2009 were openly available (?) To increase this figure and to make sure that all sorts of output are open access, RED has developed an open access policy Currently in consultation phase Slide

9. Basic assumptions and knowledge gaps Open access is a Good Thing Open access is a Good Thing for development On balance, evidence that is available supports this But many aspects remain to be fully researched and understood Few studies have explored perspectives and implications of opening access to all outputs across different producers, users, sectors, regions, countries, output types, … So we want to be sure that what we propose is a Good Thing Especially from the perspective of researchers and others in Africa and Asia Slide

10. DFID Open and Enhanced Access Policy Aim is to increase the uptake and use of findings from research funded by RED Primary objectives: increase the number of research outputs that are open access increase information to help locate research outputs Mechanisms: remove price barriers deposit more material in repositories remove restrictions on the re-use of research outputs Supported by comprehensive implementation guide Slide

11. DFID Open and Enhanced Access Policy Open access: unrestricted, irrevocable and free online access by any user worldwide to full-text/full version scientific and scholarly material Enhanced access: provision of information (e.g. metadata) to help users find materials Research partners already do a great deal to open up access to outputs; this policy formalises our expectations For research funded in whole by RED; in many cases, it will also apply when RED funds research in collaboration Slide

12. How DFID research is funded (2009-2010) Slide

13. Required Encouraged General principles Open and enhanced access Accessibility plan included in project design Maximise opportunities to make research outputs available for free Deposit outputs in subject-based or institutional repositories as well as R4D

14. Slide

15. Required Encouraged General principles Open and enhanced access Accessibility plan included in project design Maximise opportunities to make research outputs available for free Deposit outputs in subject-based or institutional repositories as well as R4D Monitoring Open access activity reported annually Acknowledge- ment DFID funding acknowledged in all written outputs Metadata Metadata for all outputs in R4D Ownership /copyright Ensure necessary permissions are in placed to add material to R4D, repositories or websites Use journals that allow researchers (or their institutions) to retain ownership of copyright Use open licenses such as Creative Commons Costs Costs budgeted for when research commissioned

16. Specific types of output Peer reviewed journal articles When self-arching (‘green’ OA), post-print digital version deposited in R4D within six months Pursue open access publishing through open access journals When open access publishing (‘gold’ open access), metadata to be deposited in R4D Use journals/publishers that enable free or reduced cost access to developing countries Reports and other written material Deposit digital version in R4D

17. Specific types of output Peer reviewed journal articles When self-arching (‘green’ OA), post-print digital version deposited in R4D within six months Pursue open access publishing through open access journals When open access publishing (‘gold’ open access), metadata to be deposited in R4D Use journals/publishers that enable free or reduced cost access to developing countries Reports and other written material Deposit digital version in R4D Books and book chapters published by third parties Request made to publisher for the right to make book/book chapter open access in part or whole Book material open access in part or whole Deposit table of contents and 500 word synopsis in R4D Negotiate purchase of copies at reduced price for free distribution on request

18. Specific types of output Datasets Deposit datasets in suitable OA discipline or institutional repository where available Retain and provide free on request raw datasets for a minimum of five years after project completion Video, audio and images Complete digital versions of significant outputs openly available in the public domain Web sites Inform R4D when project website established and if the website address changes Project websites permanently archived and accessible on closure Computer software Use free and open source software licenses

19. Key Questions If your funder insisted you followed this policy: how would you react (generally and to the detail)? would you have any objections or difficulties? what would need to change to satisfy those objections or overcome those difficulties? Slide