Open access (generic department)
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Generic OA presentation for department events and meetings. Sections to be edited or omitted as relevant.

Generic OA presentation for department events and meetings. Sections to be edited or omitted as relevant.
20 minute delivery, 30-40 minutes Q&A.

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  • There is some division over the issue of whether rights of re-use are needed now, or will develop once ‘access’ has been firmly established.
  • So a subscription journal such as Nature Communications offers authors:- - the option to publish normally and self-archive their final peer-reviewed manuscript (green) for free - the option to pay-to-publish for a cost of $4800-$5200… and offers readers the option to:- - pay a subscription to access of c.£3,800 per year to access all articles from the journal site - access those articles which an author has paid to publish free form the journal site, and the less-polished final peer-reviewed manuscripts of articles from an authors OA repository 6 months after publication (or purchase access for £20+ per article) - in this last instance, £20+ is not much. But considering the number of payments by multiple readers this could amount to, the cost to the research economy more widely may be significantly more than making the article free-to-access via gold/green route.
  • Writing… or thinking of writing an article for a particular journal. Author needs to know options (possibly before completing writing article), and if funding is available (before submission).Fund administrators need to know expected spending of funding before an invoice/request for payment arrives.
  • Writing… or thinking of writing an article for a particular journal. Author needs to know options (possibly before completing writing article), and if funding is available (before submission).Fund administrators need to know expected spending of funding before an invoice/request for payment arrives.
  • … reminder Durham, and Russell Group more widely, has expressed a strategic preference for green (and gold where it is a pure open access journal, and not a hybrid journal).
  • Purposes:- - makes sure we can keep money available to cover the expected cost. - starts the process of recording how the RCUK fund is spent for reporting purposes - starts the process for making sure that if we are paying publishers, we can then easily move the published version into DRO for future REF purposes.
  • - (1,874 could be OA but author has not provided text) (18%) - others need confirmation by contacting publisher.
  • Reiterate point… REF probably looking at either a target of 70-80% open access, or a 100% target with exceptions…
  • Reiterate point… REF probably looking at either a target of 70-80% open access, or a 100% target with exceptions…
  • Reiterate point… REF probably looking at either a target of 70-80% open access, or a 100% target with exceptions…
  • These funders are just some of those which have an open access requirement built into their funding contracts. Some require deposit in a repository, some require publishing in an open access journal. These are mostly European and UK funders… there are many others outside of the UK which have similar open access requirements attached to any funding they provide, with varying degrees of reporting enforcement in place.
  • Consultation – written submissions, open invite consultation workshops, on going discussion with publishers.
  • Exclusions to account for exceptions (eg ECRs with no institution, overseas researchers joining during REF period, compliance targets)
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Must be at least the author’s accepted manuscript. Will respect embargo periods (but likely to have recommended or required maximum embargo periods)So, could still publish in any Taylor & Francis, Sage etc. journal, have the published version locked behind a paywall, but deposit your final accepted manuscript ON ACCEPTANCE/PUBLICATION in a repository.
  • Reiterate point… REF probably looking at either a target of 70-80% open access, or a 100% target with exceptions…

Open access (generic department) Presentation Transcript

  • 1. Open Access RCUK Open Access Policy & post-2014 REF requirements James Bisset james.bisset@durham.ac.uk Academic Liaison Librarian (Research Support)
  • 2. What?
  • 3. “on average across the NHS, [only] about a third of relevant journals were available free at the point of use” http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Heading for the Open Road: costs and benefits of transitions in scholarly communications, RIN, PRC, Wellcome Trust, RLUK and JISC, 2011.
  • 4. “many researchers … in smaller and less research-intensive institutions … do not have access to a sufficientlywide range of titles” http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Access to scholarly content: gaps and barriers, RIN, Publishing Research Consortium and JISC, 2011.
  • 5. “across central Government and its agencies, some 17% of relevant articles are available free at the point of use.” http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Heading for the Open Road: costs and benefits of transitions in scholarly communications, RIN, PRC, Wellcome Trust, RLUK and JISC, 2011.
  • 6. “lack of access … may mean that advice and inputs to policy-making are delayed or incomplete." http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Rightscom. Benefits of Open Access to Scholarly Research Outputs to the Public Sector, Report for the Open Access Implementation Group, , 2012
  • 7. “the voluntary sector … [often has to] rely on reports from research organisations and Government departments" http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Office for Public Management, Benefits of open access to scholarly research for VCS organisations, JISC 2012.
  • 8. An article that is Open Access can be freely accessed by anyone in the world using an internet connection.
  • 9. no subscription... ...no login or password
  • 10. Some Open Access articles may also allow full or limited reuse of the content in the publication...
  • 11. “... free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.“ http://www.budapestopenaccessinitiative.org/read Budapest Open Access Initiative.
  • 12. Terminology
  • 13. A subscription journal such as Nature Communications offers AUTHORS: - [GREEN] the option to publish normally & selfarchive their final peer-reviewed manuscript for free - [GOLD] the option to pay-to-publish for a cost of $4800-$5200
  • 14. A subscription journal such as Nature Communications offers AUTHORS: - [GREEN] the option to publish normally & selfarchive their final peer-reviewed manuscript for free - [GOLD] the option to pay-to-publish for a cost of $4800-$5200
  • 15. Check the requirements of your funder
  • 16. RCUK Policy
  • 17. Open Access Policy
  • 18. Open Access Policy • applies to any peer-reviewed journal articles or conference proceedings which:
  • 19. Open Access Policy • applies to any peer-reviewed journal articles or conference proceedings which: - were submitted for publication on or after 1st April 2013 - Acknowledge funding from one of the seven UK Research Councils
  • 20. Authors must… • include a statement providing details of funding supporting the research;
  • 21. Authors must… • include a statement providing details of funding supporting the research; • include a statement, if appropriate, on how underpinning research data can be accessed.
  • 22. Authors must… • include a statement providing details of funding supporting the research; • include a statement, if appropriate, on how underpinning research data can be accessed. • publish in journals which are compliant with Research Council policy on Open Access;
  • 23. Is the journal compliant? In order to be deemed compliant with RCUK Policy, a journal must either: “ [GOLD] provide, via its own website, immediate and unrestricted access to the final published version of the paper, which should be made available using the Creative Commons Attribution (CC BY) licence. This may involve payment of an „Article Processing Charge‟ (APC) to the publisher.“
  • 24. Is the journal compliant? In order to be deemed compliant with RCUK Policy, a journal must either: "provide, via its own website, immediate and unrestricted access to the final published version of the paper, which should be made available using the Creative Commons Attribution (CC BY) licence. This may involve payment of an „Article Processing Charge‟ (APC) to the publisher.“ or... [GREEN] permit the author to deposit their "final Accepted Manuscript in any repository, without restriction on non-commercial reuse and within a defined period. No APC will be payable to the publisher."
  • 25. Clarifications: Green “Within a defined period” Gold “using the Creative Commons Attribution (CC BY) licence”
  • 26. Clarifications: Green Embargo periods No Gold OA option AHRC & ESRC: 12 months Other RCs: 6 months Gold OA option AHRC & ESRC: 24 months MRC: 6 months Other RCs: 12 months Gold
  • 27. Clarifications: Green Embargo periods No Gold OA option AHRC & ESRC: 12 months Other RCs: 6 months Gold OA option AHRC & ESRC: 24 months MRC: 6 months Other RCs: 12 months Gold
  • 28. Summary: • include a statement of funding • include a statement of research data • publish in journals which are compliant
  • 29. what to do
  • 30. Support at Durham • Checking compliance of journals (library) • Managing and maintaining Durham Research Online (your institutional repository) • RCUK Block Grant (£276,578 for 2013/14) • Reporting back to RCUK/HEFCE
  • 31. Writing article for journal What open access options does the journal offer If required, will funding be available Article submitted Article accepted Any APC charged is paid
  • 32. Writing article for journal What open access options does the journal offer If required, will funding be available Article submitted Article accepted Any APC charged is paid
  • 33. Step 1 Author needs to know options for preferred journal
  • 34. Step 2 Author request funding is committed to being available
  • 35. APC Funding Requested APC Library Reference The only new fields for authors to complete are: • Confirm you require funding • Provide the reference number provided with confirmation
  • 36. Durham Research Online (DRO)
  • 37. Durham Research Online
  • 38. Durham Research Online • 10,273 records in DRO - 3,837 full text (37%) - 87 further records embargoed (1%) • Durham Open Access Policy http://dro.dur.ac.uk/du_oa_policy_summary.pdf • Add bibliographic details; Tick the box; Attach your final accepted manuscript.
  • 39. Durham Research Online Department (Faculty of Science) Biological/ Biomedical Chemistry Computer Sciences Earth Sciences Engineering Mathematics Physics Psychology Records Full text % full Publisher in DRO deposited text does not permit full text to be made available 347 111 31.99 47 398 154 319 595 483 839 409 125 80 73 246 242 534 134 31.41 51.95 22.88 41.34 50.10 63.65 32.76 123 8 36 59 45 96 44 % no OA permitted by publisher % that could be achievable to make OA via DRO if authors deposited full text 13.54 86.46 30.90 5.19 11.29 9.92 9.32 11.44 10.76 69.10 94.81 88.71 90.08 90.68 88.56 89.24
  • 40. Durham Research Online Department (Faculty of Arts and Humanities) Classics and Ancient History English Studies History Modern Languages and Cultures Music Philosophy Theology and Religion Classics and Ancient History English Studies Records Full text % full Publisher in DRO deposited text does not permit full text to be made available 99 33 33.33 16 207 54 26.09 57 223 85 38.12 47 248 96 188 265 99 207 61 34 70 75 33 54 24.60 35.42 37.23 28.30 33.33 26.09 32 19 33 65 16 57 % no OA permitted by publisher % that could be achievable to make OA via DRO if authors deposited full text 16.16 83.84 27.54 72.46 21.08 78.92 12.90 19.79 17.55 24.53 16.16 27.54 87.10 80.21 82.45 75.47 83.84 72.46
  • 41. Durham Research Online Department (Faculty of Social Sciences and Health) Anthropology Applied Social Sciences Archaeology Economics, Finance & Business Education Geography Government & International Affairs Law Medicine & Health Records Full text % full Publisher in DRO deposited text does not permit full text to be made available 459 169 36.82 68 367 130 35.42 52 671 271 40.39 129 843 227 26.93 122 % no OA permitted by publisher 14.81 14.17 19.23 14.47 % that could be achievable to make OA via DRO if authors deposited full text 85.19 85.83 80.77 85.53 361 1083 456 120 458 209 33.24 42.29 45.83 34 170 52 9.42 15.70 11.40 90.58 84.30 88.60 645 204 31.63 173 26.82 73.18 1003 315 31.41 164 16.35 83.65
  • 42. Wellcome Trust
  • 43. Initially only applied to peer-reviewed journal articles.
  • 44. Initially only applied to peer-reviewed journal articles. Has now been extended to monographs and book chapters.
  • 45. “holders of grants awarded after 1st October 2013, and for existing grant-holders from October 2014”
  • 46. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks,
  • 47. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks, 'trade' books,
  • 48. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks, 'trade' books, general reference works
  • 49. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks, 'trade' books, general reference works or works of fiction,
  • 50. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks, 'trade' books, general reference works or works of fiction, or to collections edited but not authored by Trust grantholders …
  • 51. “holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014” “does not apply to textbooks, 'trade' books, general reference works or works of fiction, or to collections edited but not authored by Trust grantholders … or non-fiction work[s] … aimed at a general audience and published by a commercial publisher.”
  • 52. “… to be made available through PubMed Central (PMC) and Europe PubMed Central (Europe PMC) as soon as possible and in any event within six months of the publisher's official date of final publication.”
  • 53. “… encourages - and where it pays an open access fee, requires authors and publishers to licence research papers using the Creative Commons Attribution licence (CCBY).”
  • 54. No central institutional funding Wellcome Trust will cover APC if the CCby licence option is available and chosen by author. Will also cover additional publication costs through their inflation/flexible funding allowance
  • 55. Not limited to RCUK and Wellcome Trust… - Action on Hearing Loss Arthritis Research UK Breakthrough Breast Cancer British Heart Foundation Cancer Research UK Department of Health Dunhill Medical Trust European Commission European Research Council JISC Marie Curie Cancer Care Motor Neuron Disease Association Parkinsons UK
  • 56. Horizon 2020
  • 57. “must ensure open access to all peerreviewed scientific publications relating to its results”
  • 58. “must ensure open access to all peerreviewed scientific publications relating to its results” - required for journal articles
  • 59. “must ensure open access to all peerreviewed scientific publications relating to its results” - required for journal articles - strongly recommended for other publication formats
  • 60. “must ensure open access to all peerreviewed scientific publications relating to its results” - must deposit the published version or final peer-reviewed manuscript in a repository (such as DRO), “at the latest upon publication”.
  • 61. “must ensure open access to all peerreviewed scientific publications relating to its results” - must ensure the full text is accessible from the repository within a maximum of 6 months (12 months for social sciences & humanities)
  • 62. “the beneficiary must [also] aim to … at the same time [make accessible] the research data needed to validate the results presented in the deposited scientific publications.” - preferably by depositing in a data repository.
  • 63. “the beneficiary must [also] aim to … at the same time [make accessible] the research data needed to validate the results presented in the deposited scientific publications.” - preferably by depositing in a data repository.
  • 64. Post-2014 REF
  • 65. Post-2014 REF
  • 66. Post-2014 REF Announced they would be consulting
  • 67. Post-2014 REF Announced they would be consulting Consulted about consulting
  • 68. Post-2014 REF Announced they would be consulting Consulted about consulting Have ran a consultation (Durham response available at http://bit.ly/18yuxXO)
  • 69. Open Access and the REF
  • 70. Open Access and the REF
  • 71. Open Access and the REF
  • 72. Post-2014 REF
  • 73. Post-2014 REF Limited to peer-reviewed journal articles and conference papers.
  • 74. Post-2014 REF Limited to peer-reviewed journal articles and conference papers. Notice period from the date of the policy announcement.
  • 75. Post-2014 REF Limited to peer-reviewed journal articles and conference papers. Notice period from the date of the policy announcement. Likely to have built in exclusions.
  • 76. Post-2014 REF Limited to peer-reviewed journal articles and conference papers. Notice period from the date of the policy announcement. Likely to have built in exclusions. Must be accessible from the author‟s Institutional Repository
  • 77. Summary
  • 78. … the bottom line…
  • 79. … the bottom line… REF requires deposit in an Institutional Repository
  • 80. … the bottom line… REF requires deposit in an Institutional Repository RCUK requirements can (usually)* be met by depositing in an Institutional Repository
  • 81. … the bottom line… REF requires deposit in an Institutional Repository RCUK requirements can (usually) be met by depositing in an Institutional Repository Horizon 2020 requirements can (usually)* be met by depositing in an Institutional Repository
  • 82. … the bottom line… REF requires deposit in an Institutional Repository RCUK requirements can (usually) be met by depositing in an Institutional Repository Horizon 2020 requirements can (usually)* be met by depositing in an Institutional Repository
  • 83. Durham Research Online Department Biological/ Biomedical Chemistry Computer Sciences Earth Sciences Engineering Mathematics Physics Psychology Records Full text % full Publisher in DRO deposited text does not permit full text to be made available 347 111 31.99 47 398 154 319 595 483 839 409 125 80 73 246 242 534 134 31.41 51.95 22.88 41.34 50.10 63.65 32.76 123 8 36 59 45 96 44 % no OA permitted by publisher % that could be achievable to make OA via DRO if authors deposited full text 13.54 86.46 30.90 5.19 11.29 9.92 9.32 11.44 10.76 69.10 94.81 88.71 90.08 90.68 88.56 89.24
  • 84. Image Credits [8] Via Flickr Creative Commons, and by jekert gwapo: Available at http://www.flickr.com/photos/jekert/4412533661/ [9] Via Flickr Creative Commons, and by Darwin Bell: Available at http://www.flickr.com/photos/darwinbell/1454251440/ [10] Via Flickr Creative Commons, by Nick Wheeler. Available at http://www.flickr.com/photos/7762644@N04/2295584401 [14-17, 40] Via Flickr Creative Commons, and by 100kr. Original available here [14-17, 40] Via Flickr Creative Commons, and by tao_zhyn. Original available here [20] Via Flickr Creative Commons, and by Chris Devers. Original available here [32,60] Screenshot of video by JohnWiley&Sons: Original © Youtube available at http://youtu.be/yV91BwY7pr0 under standard YouTube licence.
  • 85. Image Credits [38 & 41] Via Flickr Creative Commons, and by geishaboy500. Original available here [94] Created using http://photofunia.com/
  • 86. Q&A