WHERE CAN I FIND IT? Pilot version

This resource is available from here http://bit.ly/1ElNlKY and is licenced under CC BY CIAO This license lets others distribute, remix, tweak, and build upon your work, even commercially, as long as they credit you for the original creation. This is the most accommodating of licenses COLLABORATIVE INSTITUTIONAL ASSESSMENT OF OPEN ACCESS offered. Recommended for maximum dissemination and use of licensed materials. Based on the CARDIO tool - www.dcc.ac.uk/projects/cardio | Oxford Brookes OA Pathfinder Prototype Feedback This is a pilot version so we are very keen of getting feedback on how it has been used in different CIAO is a benchmarking tool for assessing institutional readiness for Open Access (OA) institutions. How useful it is, how can we make it better? compliance. The tool is based on the CARDIO (Collaborative Assessment of Research Data Infrastructure and Objectives- http://cardio.dcc.ac.uk). This tool has been produced as part of You may also be interested in in: the JISC OA Pathfinder: Making Sense: a researcher-centred approach to funder mandates. MIAO My individual Assessment of Open Access is self-assessment tool The project runs from June 2014 – June 2016 and will explore researcher behaviours using for researchers to assess how prepared they think they, and their sensemaking techniques, trying to get researchers to comply with UK research open access institution, are for Open Access (OA) compliance. mandates because they want to rather than having to. The lead institution is Oxford Brookes University, associates are Nottingham Trent University and University of . The resource is available from http://bit.ly/1DCmlW9 M HOW CAN IT BE USED? More information This version of CIAO is designed to be used in a workshop setting. Visit our Blog: sensemakingopenaccess.blogspot.co.uk/ More about other pathfinder projects:www.netvibes.com/sarahfahmy#General The workshop could be held at different levels in the organisation – institutional or at faculty, departmental level. It would require a Coordinator whose responsibility would be to gather together the key stakeholders involved in OA, publishing and research (maximum 20 participants) CONTACTS in their institution or faculty. Oxford Brookes University Stage 1 Stuart Hunt [email protected] Project Director Participants to work in smaller groups of 1- 4. Each groups should be made up of participants Rowena Rouse [email protected] Project Manager with different roles within the organisation eg. Senior academic, computer services, research support, researcher. Distribute a paper copy of the toolkit to each group, let each group make their Nottingham Trent University assessments in discussion with the other members of the group. Each group should circle a box Ruth Stubbings [email protected] for each section which reflects where the group thinks the organisation is on the OA journey. Your Cliff Neal [email protected] circle can overlay two boxes if that better reflects your current position (allow 15 mins for this). Stage 2 Andrew Simpson [email protected] A group discussion about the assessments with the aim being to come to some overall Emily Bennett [email protected] consensus. The final document could be used as an aid to change, acknowledging the institution’s strengths and weaknesses and with an indication of what is required to maximise the institution’s February 2015 engagement in OA.

Stage 3 Use the group discussion document and the original as reference documents to review progress towards the final stage, ‘5-Embedding’ at a later date. JISC OA pathfinder project ‘Making Sense - a researcher centred approach to funding mandates’ WHAT MAKES A SUCCESSFUL CIAO WORKSHOP SESSION? Consensus may not be possible if this a new way of working within your institution however the act of gathering people together and getting them to talk about OA can be a useful starting point to more meaningful discussions. It could always be used to review progress over a set time 18.02.15 version 02 period. C COLLABORATIVE INSTITUTIONAL ASSESSMENT OF OPEN ACCESS Based on the CARDIO tool - www.dcc.ac.uk/projects/cardio | Oxford Brookes OA Pathfinder Prototype CIAO

Envisioning & Capabilities Discovering Designing & Piloting Rolling out Embedding 1 Initiating 2 3 4 5

Institutional Policy & We have not We are aware that the OA We have reviewed our publication We have developed an Our OA policy, strategy and support has Strategy on OA formally considered landscape is changing practice and have drafted an OA OA policy and strategy, been well communicated to all stakeholders. the need for policy and are reviewing whether position paper / statement / policy. supported by relevant We are confident that there is a high in this area. we should change our There is on going consultation with guidance. We have agreed awareness of the OA environment, funding publishing practices. researchers and relevant support roles and responsibilities body and OA requirements for a future REF staff. We are aware of good practice of relevant stakeholders in and the appropriate use of exceptions across internally and externally. We are delivering services to support the institution. discussing roles and responsibilities OA. We are taking steps to of relevant stakeholders in delivering communicate our OA policies services to support OA. and support. Financing OA We have not We are currently reviewing We have decided to have a We have developed a We have a publication fund and policy formally considered the financial implications publication fund of £xxx. We are publication fund and have of how it will be allocated. We have the the financial of OA on our institution. currently developing guidance on agreed a procedure on how technical processes and staff resources in implications of OA how the funds will be allocated. it will be allocated. We are place to manage all of this. We are confident for our institution. taking steps to communicate that there is a high awareness of the our OA funding policy to application process for OA funding. research staff. Services for OA We have not We are considering what/ We have agreement on where/ We are either training, hiring We have clear support for OA, both at support considered the where support for OA what staff will be available and have or training and hiring staff Institutional, Faculty/Departmental and services required for may be best located and thoughts on how this could best be to support OA and putting researcher level. We have resources in place OA support or the are considering what resourced. We are considering what resources in place to to ensure that this support is adequately areas in which those resources are needed to training/development is needed for continue the sustainability of funded and we have processes in place to services may reside. put this in place. those staff. the resource. review the support to ensure that it continues to be fit for purpose.

Capabilities: Envisioning & Systems and Discovering Designing & Piloting Rolling out Embedding Initiating Processes 1 2 3 4 5

System to We have not yet We are investigating what We are developing systems Systems and staff are We have tested our system and know that gather data for considered what systems / processes are / processes to monitor OA in place to monitor OA it is robust and delivers all the information OA compliance systems / processes required for us to monitor compliance, but have not yet fully compliance. The process needed for compliance with HEFCE/RCUK/ are required for OA compliance effectively tested them. has been communicated to Wellcome Trust/other requirements as they us to monitor OA and efficiently. research staff. are currently outlined. Researchers know compliance. and understand how to use the system and we have checks in place to intervene if the correct processes are not being adhered to. Documentation/ We have not yet We are considering the We are in the process of We have drafted OA We have fully documented all processes, and visibility considered what most appropriate form documenting OA processes. documentation. We are procedures are in place to ensure these are of process documentation is of documentation and taking steps to communicate kept up-to-date. The documentation is easily required to support the best way to make it our OA documentation to available/accessible. OA, or what form available. research and support staff. it might take and where it might be held. Reporting, We have not yet We have considered the We are designing a suite of reports We have developed a suite We have full, easily accessible reports which monitoring considered what kinds of reports that are to meet management needs and of reports that allow us to produce useful data on compliance with and audit reports may be needed and are starting to to ensure compliance with funder monitor and manage OA policies but also researcher engagement. required or whether define these. mandates. We are testing our compliance. We can produce data that demonstrates that our systems will reports and ensuring that they are compliance for audit purposes. deliver the relevant fit-for-purpose. data. Publication We have not yet We are aware of issues We are defining procedures/ We are testing our systems We are fully compliant with current HEFCE/ embargoes considered ways to relating to publication workflows and designing tools and workflows so that RCUK/Wellcome Trust/other requirements. deal with publication embargoes and OA and to meet the need to comply with material is made available We have tested that embargoes are embargoes. are considering ways to embargoes. under OA as soon as managed in our systems and the correct overcome these. possible. metadata/full-text versions released to the public at appropriate times/in appropriate ways. Our processes are fully documented and we can demonstrate compliance to support any audit requests.

Capabilities: Envisioning & Communication and Discovering Designing & Piloting Rolling out Embedding Initiating staff development 1 2 3 4 5

Advocacy We have not yet We are aware of the need We are starting to develop and We have developed a range We have an agreed training and considered the for OA advocacy and trial training and communication of communication and communication plan that can be responsive ways in which OA that different groups of methodologies which cater for training methods to cater for to changes in the OA environment and advocacy should researcher may require current information needs, but which different groups. We have settled channels of communication that can occur across the different methods of will also be robust in the future. drafted a formal training and effectively disseminate new information (eg institution. communication and communication plan which changes/amendments to REF rules). training. we are delivering across the institution. Advice on where We have not yet We are considering the We are starting to draw up We have developed support Support and mentoring systems exist in to publish in an OA considered how most appropriate way processes to support and mentor and/or mentoring processes all subject disciplines and it is clear to environment to give advice to support academic academic colleagues and identify to support publishing in the academic colleagues where/how to draw to academic colleagues and are the different kinds of advice and OA environment. We will upon this advice. The issue is one discussed colleagues on where discussing with them support academic colleagues may revise the support in light of regularly in departmental meetings and in to publish in an OA the most suitable way need at different points in their feedback received. The issue developmental reviews/appraisals/equivalent environment. to provide support and career on where to publish in an OA is starting to be discussed annual contact points. mentoring. environment. more widely in discipline formal and informal channels. Impact of OA We have not yet We are reviewing possible We are starting to design processes We are starting to trial ways/ We have processes to consider/review/OA on research profile considered how implications of OA on which will enable us to collate and means to collect appropriate in terms of how it is affecting the research OA may affect our impact in relevant fora analyse evidence of the impact evidence relating to impact and significance of our impact. We can research impact. and considering how to of OA on the institutions research from access to OA outputs. collect data about downloads etc. and other respond. profile. evidence that links accessibility of certain outputs to changes/benefits. Outputs eg books, We have not yet We are starting to consider We have draft policies in discussion We are working closely with We have policies to guide staff on how to non-textual and considered how to how to deal with outputs with research staff and are starting researchers who produce respond to these issues. We have processes research data not deal with outputs not covered by HEFCE to think about how our systems research outputs in this and systems in place which can deal with yet OA not covered by / RCUK / Wellcome may need to be adapted to respond category to ensure that their most forms of open output or data. We have the HEFCE / RCUK Trust and ways to move to these extra needs. We are material is made OA as staff who can advise on the issues involved / Wellcome Trust forward. We are talking to developing training programmes appropriate. and we have documentation available to sup- mandates. staff in those disciplines for relevant staff so that they can port researchers. most affected by this. respond appropriately.