The presentation provided an overview and update on the CGIAR Consortium's progress in Open Access, including some of the challenges and opportunities of advocating for Open Access across the Consortium. The webinar was presented by Piers Bocock, Director of Knowledge Management and Communication at the CGIAR Consortium. He is responsible for overseeing the development and implementation of the Consortium’s Knowledge Management, Communications, and IT strategies, leveraging best practices in these disciplines to help the Consortium deliver on its mandate.

1. CGIAR Open Access: Progress and Promise
Piers Bocock
CIARD Webinar
April 10, 2014

2. Overview
• CGIAR: Who we are
• CGIAR’s Commitment to Open Access
• Progress
• Next Steps
• Advocacy – challenges and opportunities
• Questions and Answers

3. CGIAR: Who we are

4. The CGIAR Consortium includes 15 Research
Centers

5. The CGIAR Consortium leads 16 cross-cutting
Research Programs

6. CGIAR and its partners aim for impact in four
“System Level Outcomes”

7. CGIAR’s Commitment to Open Access
• In April 2012 the CGIAR Consortium Board
and the 15 CGIAR Consortium Research
Centers adopted the CGIAR Principles on the
Management of Intellectual Assets
• Of particular interest is Article 6.1 of the
CGIAR IA Principles which provides that:
“The Consortium and the Centers shall
promptly and broadly disseminate their
research results, subject to confidentiality as
may be associated with [certain] permitted
restrictions, or subject to limited delays to
seek IP Rights [(patents, etc.)]”.

8. Progress towards Open Access
April
2012:
CGIAR IA Principles approved
Sep
2012:
KM Workshop Identifies Need for OA Policy a top priority
Nov
2012:
Open Access Working Group formed
Jan-Sep
2013:
OA Policy developed & shared/revised X3
Oct/Nov
2013:
CB and all Centers approve OA Policy
Nov
2013:
$5M commitment for OA; FC approves OA CN, requests full proposal
Jan/Feb
2014:
FO Provides proposal feedback; proposal revised
Oct 13-
Jan 14:
OA Guidelines v1 and v2 drafted and shared.

9. Keys to making OA a reality
Policy
Funding
Flexible Guidelines
Center/CRP
Implementation
Plans
Center/CRP
Implementation
CG-level metadata
harvesters/
open.cgiar.org
Partner
interoperability
Documentation,
Monitoring &
Evaluation
Done. Approved by Consortium
Board and all 15 Centers
In progress. Fund
Council decision
expected May 8.
In progress. V3
ready for review by
April
Partner
Engagement

10. Open Access touches everyone
Open Access
Implementation
Publications
Data
Management
ICT
Human
Resources
Legal/IPResearchers
Partners
Communications
Knowledge
Management/
Sharing

11. Open Access Policy
Status: Complete
• Open Access and Data Management Policy drafted, circulated,
revised based on feedback (January-September 2013).
• Received approval from CGIAR Consortium Board (October 2013).
• Received approval from all 15 Centers, making it mandatory
(November 2013).
• Final policy available at www.cgiar.org/open.

12. CGIAR’s Open Access Policy:
Aspirational and Aggressive
Types of Information Products Deposit Schedule
Peer-reviewed versions of journal
articles
Ideally, at the time of publication
Latest: 6 months from publication
Reports, conference papers,
policy briefs, working papers
As soon as possible
Latest: within 3 months of completion
Books and book chapters Negotiate with publishers to make available as soon as
possible
Data and data sets As soon as possible
Latest: within 12 months of completion of data collection or
appropriate project milestone, or within 6 months of
publication of the information products underpinned by that
data, whichever is sooner
Video, audio, images Within 3 months of completion
Computer software As soon as possible
Latest: within 3 months of completion
Metadata As soon as possible
Latest: before or on publication of the information product

13. Open Access Implementation Guidelines
Status: In development
• Initial draft developed and shared in
October 2013; second draft released
January 2014.
• 2 rounds of consultation have taken place,
but we still don’t have it right. Need to
draft v3, and consider significant revision.
• Next version expected April/May 2014.

14. Open Access Implementation Guidelines
Next steps:
• Re-draft from 40-page document into shorter
more generic Implementation Guidelines
that include a few clear essential actions
(“Essential Elements”) complemented by an
online “OA Implementation Support Pack”
of generic guidelines, samples, templates,
suggestions, etc. that continually grows.
• Incorporate feedback from CGIAR KM
Leaders received in March in Lima.
• Aim to have completed and shared for Center
review/approval by May 2014.

15. Open Access Implementation Guidelines
Essential Elements:
• Centers to develop their own Center-specific
OA/data management implementation plans
which shall at a minimum:
– Comply with CGIAR OA Policy
– Address ethics and governance
– Identify core metadata
– Include perpetual access principles
• Use open repositories used for final
information products which:
– Use at a minimum CG Core Metadata
– Relate to Dublin Core
– Are harvestable and machine-readable
– Are measurable

16. Open Access Implementation Guidelines
Support Pack Contents:
• Licensing contract language
• List of recommended OA Journals
• List of predatory journals
• Suggestions re: “gold”, “green” and self-
archiving options
• List of potential repository platforms
• Sample ethics guidance
• List of interoperable standards
• Sample OA-incentivizing HR contracts
• List of controlled vocabularies (e.g. Agrovoc)
• Sample workflows
• Promising practices

17. Roles and Responsibilities
Entity Responsibilities
Consortium Office Policy; Base guidelines, and curation of ongoing support pack; M&E; (partial)
resource mobilization and funding; negotiation of CG-wide OA-related
opportunities – platforms, licenses, journals, etc.
Centers Development of Center-specific OA implementation plans, including
publications, data management, etc. CRP Lead Centers develop CRP-specific
OA implementation plans. Reporting to CO.
CRPs Compliance through Lead Center OA Plans. Work with partners towards
compliance.
Open Access
Working Group
Serve is core advisory group to draft and oversee guidance, implementation,
reporting, and other processes. Review and make funding
recommendations.
Data Management
Taskforce
Review/approve CG Core Metadata; collect and recommend other
appropriate standards.

18. Draft Metadata Schema
• Agreement on, and use of, core metadata
schema will be the glue that binds CGIAR’s
Open Access together.
• Draft metadata elements (“CG Core”) drafted;
will be reviewed by Data Management Taskforce
• CG Core based on Dublin Core and OpenAIRE
• 15 Core elements
• These are core minimum metadata elements
which will ensure harvestability and
interoperability.

19. Open Access Funding
Status: In Progress
• $5M committed in November 2013.
• Fund Council approved Concept Note in
November 2013; requested full proposal.
• Full 5-year proposal for $15.4M submitted to
CGIAR Fund Council March 2014; decision
expected in May 2014.

20. Open Access Funding
Proposal Components:
• 2 Phases (2 years, 3 years) over 5 years.
• Goal: all Centers/CRPs compliant w/i 5 years.
• Distributed model of interoperable repositories
residing at Centers.
• Identification and adoption of common
standards is foundation for everything.
• Seed funding to provide for technical and
human capacity building.
• Funding proposed for some key staff to sit at
CRPs as well as at Consortium Office.
• Bulk of funding is requested to support
Centers/CRPs with capacity-development sub-
grants.

21. Next Steps
• April:
– Establish Open Access Implementation Working
Group
– Establish Data Management Working Group
– Finalize v3 of Implementation Guidelines for
Center review
– Draft funding guidelines/procedures
– Start working on Advocacy content/messaging
– Start identifying promising practices
– Close baseline survey
– Participate in GODAN/CIARD meeting in Rome

22. Next Steps
• May: (Assuming funding approval)
– Start on open.cgiar.org
– publications metadata repository
– Linking to “suitable”
repositories/identifying needs to
make existing repositories
“suitable”
• Start on metadata repository
• Start on spatial commons platform
(Potential use case: AATP VIP?)
• What else? (social platforms,
partner platforms/content, etc.)

23. Next Steps
• June:
– Core content/messaging for Advocacy
Campaign, for base “deck” (and other
channels) messaging for use by
ambassadors through: CoP meetings,
Centers, Webinars, Roadshows, CRP
Directors meeting
– Identifying promising practices/examples
• Build the evidence base
• Evidence/promise of open access for
ultimate beneficiaries

24. Next Steps
• September:
– Start on specifics such as:
• Metrics
• Evaluation – engage with CG community
of evaluators
• Incentives
• October:
– Design impact assessment
– Open Access Week event
• Way to engage all Centers/CRPs
• Launch beta version of open.cgiar.org
• Way to engage/include GODAN
• December:
– Progress Reporting

25. The CGIAR Open Access Initiative

26. Challenges and Opportunities of Advocacy
Open Access
Advocacy
Publications
Data
Management
ICT
Human
Resources
Legal/IPResearchers
Partners
Communications
Knowledge
Management/
Sharing

27. Challenges and Opportunities of Advocacy
Challenges Opportunities
There was no Open Access policy Develop a Consortium-wide OA Policy
Moving towards OA requires resources Funders are willing to support OA
Centers don’t know how to implement Co-create Implementation Guidelines
OA deposit policy is aggressive They’re aspirational; be leaders
Need to coordinate with other AR4D orgs GODAN/CIARD
Open Access touches everyone Develop a comprehensive campaign
Will require Culture Change CGIAR “culture” could use a shake-up
Reaching multiple target audiences Creation of Open Access “Ambassadors”
Making the case CIARD Advocacy Toolkit, GODAN

28. Research Project Management
• GOAL: Develop a Harmonized Research Management (RM)
Platform for planning, reporting, monitoring, and providing for public
access to CGIAR research.
• Task Force created: Michael Marus (Chair), Joanna Kane-Potaka
(ICRISAT), Ravi Prabhu (ICRAF), John McIntire (ILRI), Peter
McCornick (IWMI), Robert Chapman (Bioversity), Luis Anibal
Solórzano Cárdenas (CGIAR Consortium), Tania Jordan (CGIAR
Consortium)
• Google group established, 1st virtual meeting scheduled.
• Working on gathering/identifying concrete RM requirements at all
levels Consortium, Center, CRP, Donor, Partner
• Working on identifying best-of-breed solutions for possible scaling to
CRPs
Thank You.