Slide 1

Opening access to DFID research

Matthew Harvey, Research and Evidence Division (RED), UK Department for International Development (DFID)

NOT NECESSARIL

Y THE V

IEW

S OF

DFID!

Slide 2

Outline

1. Introduction to DFID, RED and its research portfolio2. DFID funded open access initiatives3. 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)

Human development 32%

Agriculture 27%

Climate and Environment12%Governance, conflict,social development 10%Research uptake 8%

Growth 5%

Other 6%

Slide 5

Research Uptake Team and open access

• RU Team funds programmes to:

i. understand the drivers and constraints to the use of evidence in policy

ii. 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

0

100

200

300

400

500

600

Journalarticle

Workingpaper

Books Audio/video

2008

2009

2010

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)

Joint funding 24%

Core funding 28%

Direct funding 34%

Product developmentpartnership 14%

Required Encouraged

General principle

s

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

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Required Encouraged

General principle

s

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

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

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

Specific types of output

Datasets Deposit datasets in suitable OA discipline or institutional repository where availableRetain 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

Slide 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?