Open Access in Portugal: from UMinhoo to national initiatives

Universidade do Minho Serviços de Documentação
TÍTULO DA APRESENTAÇÃO Complemento de título
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Open Access in Portugal: from UMinho to national initiatives
Eloy Rodrigues eloy@sdum.uminho.pt

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Agenda
Introduction
Open Access Policy @UMinho: incentive and mandate
The 2004 policy – definition, implementation and results
The 2010 policy upgrade – definition, implementation and results
Open Access in Portugal
The RCAAP project
Open Access policies
Concluding remarks

teaching
• 53 graduate courses
• 130 masters courses
• 22 PHD courses
• 18.500 students
12.300 graduate students
4.400 master students
1.900 PHD students

research
• 31 Research Centres
Hosts the European Institute of Excellence in Tissue Engineering and Regenerative Medicine, the only Institute of this kind to have a base in Portugal.

University of Minho
An Open Access pioneer
[2003-2013]

University of Minho Documentation Services | 2013
UMinho Open Access
Timeline
RepositóriUM Opening
Test phase
Berlin Declaration Signature
Communication strategy
UMinho OA Policy
1st OA conference
Statistics Add-on
2nd OA conference
1.000.0000 downloads!
5.000 documents!
DRIVER II project
RCAAP project
3rd OA conference
4th OA conference
NECOBELAC project
OpenAIRE project
10.000 documents!
Open Data pilot project
1st Luso-Brazilian OA conference
2nd Luso-Brazilian OA conference
New UMinho OA Policy
OpenAIRE Plus & MedOAnet projects
20.000 documents!
3rd Luso-Brasilian OA conference
4th Luso-Brasilian OA conference
RepositóriUM
10th anniversary
FOSTER project
PASTEUR4OA
project
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

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Publicly launched in November 2003
Deposition of publications by author (or “proxy”) self-archiving
No library mediated deposit/archiving
RepositóriUM (2003)

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UMinho self-archiving policy (2004)
This policy was established by a Rectoral Document, in the first anniversary of RepositóriUM
Following the signature of the Berlin Declaration in November 2004
 Implemented from January 1st 2005

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Established by a Rectoral Document, in the first anniversary of RepositóriUM
Following the signature of the Berlin Declaration in November 2004
 Implemented from January 1st 2005

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University of Minho staff must archive their publications and documents into RepositóriUM, and make them available in Open Access whenever possible;
The organisational units (research centres, departments) must sign and adopt self-archive policies for the scientific output of their members, based upon a general model;
Authors of thesis and dissertations approved by the University of Minho must authorise the deposit of their thesis or dissertation into the RepositóriUM.

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Self-archiving incentive
In 2005 the Rectory provided a financial supplement to departments and research centres, proportional to their compliancy to the policy of Open Access self-archiving in RepositóriUM.

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Self-archiving incentive
In 2006, there was also a financial supplement, but it’s value was significantly smaller (around 1/3)
The incentive disappeared after 2006

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Results
0
500
1000
1500
2000
2500
3000
2003
2004
2005
2006
Submissions/year

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But…
Not having the incentive, and no enforcement /monitoring authority from 2007 to 2010...

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Results
0
500
1000
1500
2000
2500
3000
2003
2004
2005
2006
2007
2008
2009
2010
Submissions/year

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Upgrade of UMinho OA policy (2010)

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University of Minho
An Open Access pioneer
[2003-2013]
OA was integrated in the University Action Plan for 2009-2013

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Why?
The number and percentage of UMinho research output archived was decreasing since 2007
Open Access is seen as a relevant factor on the visibility strategy of University of Minho

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Gargouri Y, Hajjem C, Larivière V, Gingras Y, Carr L, et al. 2010 Self-Selected or Mandated, Open Access Increases Citation Impact for Higher Quality Research. PLoS ONE 5(10): e13636. doi:10.1371/journal.pone.0013636

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Why?
The number and percentage of UMinho research output archived was decreasing since 2007
Open Access is seen as a relevant factor on the visibility strategy of University of Minho
To continue and improve the UMinho Open Access experience, maintaining UMinho has an OA frontline institution;

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Minho University requires: All academic staff to mandatory deposit into RepositóriUM a copy of all peer reviewed publications dated after January 2011; From January 2011, all official publication lists or reports, from individual researchers and research units, submitted internally at UMinho, must contain a link to the version archived at RepositóriUM
UMinho upgraded policy (RT-98/2010)

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1st quarter 2011:
Roadshow on the new policy in all the Schools/Institutes [Faculties] of UMinho
Since the end of the 1st quarter 2011:
Quarterly monitoring of policy compliance
Implementation of UMinho policy

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0
200
400
600
800
1,000
1,200
1,400
1,600
1,800
2,000
January
February
March
April
May
June
July
August
September
October
November
December
Deposited documents/ month
2010
2011
Results

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0%
10%
20%
30%
40%
50%
60%
70%
80%
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
42%
46%
52%
50%
42%
42%
42%
44%
70%
71%
59%
Percentage of UMinho's WoS/Scopus output on RepositóriUM (15-01-2014)
Results

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PUB. YEAR 2013
PUB. YEAR 2012
PUB. YEAR 2011
PUB. YEAR 2010
OTHER YEARS
NUMBER OF
PUBLICATIONS
DEPOSITED IN 2013
2283
1985
218
135
562
Results

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0
10
20
30
40
50
60
70
2004-2012
2004
2005
2006
2007
2008
2009
2010
2011
2012
Public Access Delay
Restricted Access Delay
Average Delay (months)
3b
Gargouri, Yassine, Larivière, Vincent and Harnad, Stevan (2013) Ten-year Analysis of University of Minho Green OA Self-Archiving Mandate. In, Rodrigues, Eloy, Swan, Alma and Baptista, Ana Alice (eds.) Ten-year Anniversary of University of Minho RepositóriUM. , TBA.
Results

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34%
34%
12%
5%
15%
Conference items
Articles
Master thesis
Doctoral thesis
Other
RepositóriUM document types

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Access type
79%
18%
3%
open access
restrict access
embargoed access

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2,314,817
0
500,000
1,000,000
1,500,000
2,000,000
2,500,000
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
Downloads / year (More than 10.750.000 since 2003)

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Downloads origins in 2013
32%
19%
9%
6%
4%
3%
27%
Portugal
Brasil
European Union
United States
India
China
Other

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Future directions
Open Access is again part of UMinho Strategic Plan (2013-2020). UMinho wants to remain on the frontline of Open Access. RepositóriUM will be the only information source, about publication output, for the University Information System, that will support all reporting, management and evaluation activities in the University. Experimenting with research data curation and access. Experimenting with OA journal and book publishing

RCAAP PROJECT
Scientific Open Access Repository of Portugal
06-10-2014
35
RCAAP - Repositório Cientifico de Acesso Aberto de Portugal

Governance
●FCT / FCCN
General Coordination & infrastructures
●University of Minho
Scientific and technical coordination

RCAAP Services
SEARCH PORTAL
REPOSITORY HOSTING SERVICE
OAI-PMH VALIDATOR
COMMON REPOSITORY
DATA REPOSITORY
USAGE STATISTICS
JOURNAL HOSTING SERVICE
06-10-2014
37
Dissemination; Training and Helpdesk
2008
2008
2009
2009
2010
2011
2011

RCAAP Search Portal
●http://www.rcaap.pt
http://www.rcaap.pt

RCAAP Search Portal
●538000 Documents indexed from 74 data sources
●Data sources = Institutional Repositories (42) + Journals (30) + Data Repository (1) + Brazilian Portal (1)
●OAI-PMH harvester
●Updated daily

REPOSITORY HOSTING SERVICE
SARI
06-10-2014
40

SARI (Institutional Repository Hosting Service)
●Free Hosting Service for a Dspace Repository
●Dspace 3.2 + addons (stats; request copy; portuguese help; send to curricula Degóis; OpenAIRE Authority Control ) = Dspace++
●Language: Portuguese & English

SARI (Institutcional Repository Hosting Service)
●All the user interface is customized:
●Design = Institutional Design
●Repository Email
●Institutional URL
●Autonomous Administration
●Free Helpdesk (Email & Phone)
●Hosting now 28 Repositories

RCAAP VALIDATOR
http://validador.rcaap.pt

RCAAP Validator
●Based on Driver Guidelines
●1- Insert your OAI-PMH info
●2 - Select validation options
●3 – Receive an email with a link to the online report

Report
●Statistics
●Errors

New Version of Validator (v.2)
●New features
●Check a specific set
●More validation profiles (thesis, funder, file formats – FITS)
●Special features for DSpace platform (full- text check + FITS).
06-10-2014
46

COMMON REPOSITORY
06-10-2014
47

Common Repository
●1 Repository to many institutions
●Limited Administration (Community & Collection)
●35 Institutions
http://comum.rcaap.pt

JOURNAL HOSTING SERVICE (SARC)
http://revistas.rcaap.pt

Journal Hosting Service
●Based on Open Journal System (OJS)
●Same approach as the Repository Hosting Service (SaaS)
●Project RCAAP manages: monitoring, backup, security, updates,…
●… and provides helpdesk, and presential & online training sessions

●Editors have total autonomy
●Personalized URL, email and layout
●Journals are aggregated at RCAAP Search Portal
●Use of DRIVER Guidelines
●Integration with IR (Sword)

http://revistas.rcaap.pt

PORTUGUESE REPOSITORIES GROWTH
06-10-2014
53

Repository Evolution in Portugal
06-10-2014
54
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
RI (local)
1
1
1
4
10
13
12
11
11
10
13
14
SARIs (hosted)
5
14
20
23
24
25
28
Total Harvested
18
26
31
34
34
38
42
0
5
10
15
20
25
30
35
40
45

Open Access Policies in Portugal

Institutional OA Policies
Instituição
Tipo
Ano Universidade do Minho
Institucional
2005 ISCTE – Instituto Universitário de Lisboa
Institucional
2007 Universidade do Porto
Institucional
2008 Universidade Aberta
Institucional
2010 Instituto Politécnico de Bragança
Institucional
2010 Universidade de Coimbra
Institucional
2010 Universidade de Lisboa
Institucional
2010 Hospitais Universitários de Coimbra
Institucional
2011 Instituto Politécnico de Leiria
Institucional
2011 Universidade de Trás-os-Montes e Alto Douro
Institucional
2011 Instituto Politécnico de Castelo Branco
Institucional
2012 Universidade do Algarve
Institucional
2012 Instituto Politécnico de Viseu
Institucional
2012 Instituto Universitário de Ciências Psicológicas, Sociais e da Vida (ISPA)
Institucional
2012 Universidade Fernando Pessoa
Institucional
2012

FCT OA Policy
●The FCT Policies on Open Access are a direct outcome of a public consultation held in 2013.
●They encompass guidelines for free, online access to peer-reviewed publications and data arising from FCT funding.
●The policies came into force on 5 May 2014.

FCT OA Policy
●Open Access policy based on an repository deposit approach and in line with EC recommendations
●Integral to this move is the existence of a well- established open access repository infrastructure: Repositório Científico de Acesso Aberto de Portugal (RCAAP)

FCT OA Policy
●The core of the policy on open access to publications arising from FCT-funded research is that all publications of research outputs, subject to peer- review or another form of scientific review, should be deposited in one of the open access repositories hosted within RCAAP as soon as possible, preferably immediately on acceptance for publication.
●An embargo period is allowed, after which the full content of the publications should be made freely available.

Concluding Remarks - Success Factors
●Build on existing best practices
●Build Community
●Focus on Interoperability
●Validator & Driver Guidelines & Standards
●Promote Integration
●Repository as part of the research system

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Thank you!
http://repositorium.sdum.uminho.pt

Open Access in Portugal: from UMinhoo to national initiatives

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