Valerie McCutcheon “Open Access – responding to stakeholder needs” SALCTG June 2013


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Covers the June 2012 Finch report and the impact of new funding arrangements, looking in particular at how Glasgow University responded to the changed environment. Looks ahead to the situation post-2014 REF.

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  • Finch acknowledges that there will be a transition period where both Green and Gold routes will be used to achieve OA and that additional public funding has to be found (supplemented by funds diverted from research funding and by seeking to reduce subscriptions we pay to publishers).Govt made £10m available to institutions to pump-prime OA and Glasgow received £360k to be spent by end of March 2013 (so quite short timescale). Using the money to pilot payment of APCs – look at take up and administrative processes, and to increase deposit into Enlighten. Finch group due to meet again September 2013, some changes may result. Evidence is being collected by the Research Information Network to inform the discussion.
  • Budget forecast as at March 2013. The final expenditure and a narrative report will be sent to RCUK.APC’s about 90 paid Average cost c£ varyingExtra staff time – may reduce as we streamline processes – early days we will use the first year to evaluate requirements.ORCID = Open Researcher and Contributor ID. Helps distinguish and aggregate research outputs from others with similar names – it is global. It will help transfer data between organisations. We hope to be able to provide a range of services to academics.Datacite a unique digital object identifier service that caters for the metadata unique to datasets - easier reuse and verification of data. Datacite is a member of the International DOI Organisation, The British Library are the UK registered member of Datacite.. Datacite (British Library for UK) will store a permanent copy of the metadata and provide statistics to UK member organisations. The obligation is on organisational members of Datacite UK to maintain landing pages (e.g. in institutional repositories) and to ensure persistent data storage and appropriate retention scheduling. Glasgow’s data registry will provide a landing page with the essential metadata. Search.datacite.orgGrowing momentum. Archaeology Data Service Your and UK Data Archive at Essex use routinely and many more already adhere to the metadata scheme. RCUK recommend use of such a service.Open Access Key pilot and similar services to manage open access payments are under consideration but there are a number of concerns that would need to be addressed.
  • RPSCThe Principal Vice-Principal (Research and Enterprise) (Chair) Dean of Research for each College Selected staff* Director of Research and Enterprise Executive Assistant to the Vice-Principal (Research and Enterprise) Lay Member of Court Chair of the DoGS Committee President of the Students Representative CouncilOpen Access Working GroupWider remit – includes datasets storage requirements, other research outcomes (e.g. RCUK research outcomes systems requirements) as well as open access to articlesLibrary team – administer the funds - review cases, investigate issues, pay invoices, make sure full text is public where allowable
  • Sign-post to existing (and new) resources.
  • Research Councils issued their finalised open access policy on 8th April. Use of Creative Commons licences. CC-BY: lets others modify, build upon and/or distribute the licensed work (including for commercial purposes) as long as the original author is credited – this licence type is required by RCUK for any article that is published by paying an article processing charge. Green OA RCUK accept a CC-BY-NC licence. No commercial use can be of the content under this licence.RCUK policy recently modified to allow longer embargo periods if institutions run out of funds (12 months for STEM and 24 months for AHSS)Authors required to acknowledge grant funding in their papers and also make reference to any underlying data.RCUK will be reviewing the process in third quarter of 2014.
  • May apply the same embargo periods as RCUK and will require outputs that meet the REF open access requirement to be accessible from an Institutional Repository. May either exempt books/book chapters etc. or give Universities a target percentage for the open access content of their submission (e.g. 80% must be open access).HEFCE currently consulting on open access and the post-2014 REF. (We intend that work which has been originally published in an ineligible formthen retrospectively made available in time for the post-2014 REF submission date should not be eligible, as the primary objective of this proposalis to stimulate immediate open-access publication). Will likely apply the same embargo periods as RCUK and will require outputs that meet theREF open access requirement to be accessible from an Institutional Repository such as Enlighten. May either exempt books/book chapters etc. Orgive Universities a target percentage for the open access content of their submission (e.g. 80% must be open access).
  • Unlikely to be enough to cover all potential APCs (a concern if REF requires all items to be open access at point of publication in future)
  • We do not make any decisions based on perceived quality of research. We report to our Research Planning and Strategy Committee and if funds look low they will decide how to manage the applications.If the author can claim that the research had some funding from RCUK or Wellcome – open to some interpretation/researchers judgement
  • Multiple grant references can be separated by comma space, or where several agencies a semi-colon and the word ‘and’
  • Advocacy – British Library are due to publish some case studies in July 2013 which should help. Data Management Plans – often supported by the Grants team/research support office/data management support/local research administration in colleges but may need further integration into processes.
  • The award and research output are linked which allows us to manage compliance with funder policies and enables us to provide metadata to the RCUK Research Outcomes System and reduces the burden of these requirements on academics.
  • This example could go green at the time of submission to the University publications system (Enlighten)Since then the publisher has changed their policy.If published now would have to pay a gold article processing charge to satisfy funder requirements as there is a 12 month embargo and RCUK only accept a 6 month embargo in this case.Copyright agreements should always be checked as publishers can and do change their policies. The same funder/journal combination may have different open access options at different times. used to check publisher policies and often includes links to publisher pages and licence agreements. Also testing another offering - - this combines funder and publisher policies Searching copyright licences for ‘repository’ and ‘embargo’ will usually clarify if open access that fits with the funder requirements is possible.
  • Can enter some examples into Sherpa if attendees have forthcoming publications they would like to check the publisher open access position for.Can discuss RCUK FAQ and web pages and if any clarification needed on University of Glasgow web pages.Developments – OA journal groups led by HEI’s
  • Valerie McCutcheon “Open Access – responding to stakeholder needs” SALCTG June 2013

    1. 1. Open Access – Respondingto Stakeholder NeedsValerie McCutcheon, Research Information Manager
    2. 2. What - Open Access• Unrestricted online access to research literature, in particularjournal articles arising from publicly funded research• Green (free) Publish then self-archive (usually author final version)in online repository if the publisher permits. Possibly an embargoperiod.• Gold (paid for) Open access journal or open access option ifoffered - article is immediately freely available. Payment of an upfront fee or ‘Article Processing Charge’ (APC)ACTION BASED ON JOURNAL AND FUNDER TERMS
    3. 3. New Drivers - Finch report June 2012Main recommendations accepted by Government:– Clear policy direction towards Gold Open Access– Transition period - Funders’ requirements to be fulfilled by either Gold orGreen (but with maximum embargo period) Open Access– £10m funding to research intensive universities to assist with move to OA– University of Glasgow received £360k to be spent by 31st March 2013Finch Group Meet Again September 2013
    4. 4. DESCRIPTION COSTArticle Processing Charges £147KPre-Payment (Wiley, Sage, Taylor andFrancis, Royal Society of Chemistry)£137KStaff £40KOpen Researcher and Contributor ID (ORCID) £15KDatacite £5KMiscellaneous £17KTOTAL £360K
    5. 5. Research Planning andStrategy CommitteeOpen Access WorkingGroupEVERY 2 MONTHSEVERY MONTHFORTNIGHTLYEnlighten TeamLibrary Open AccessTeamSerials TeamLibrarians and NonLibrariansResearch Strategy
    6. 6. ACTION: Let us know if information you need is missing
    7. 7. Research Councils UK• New funding arrangements– 1st April 2013 block grant for APCs for research outputs from RCUK grants – replacesexisting direct/indirect costs in grants– University of Glasgow - £408k 2013/14, £480k 2014/15• RCUK open accesspolicy(– Must publish in a RCUK OA compliant journal– Either Gold OA with a Creative Commons CC-BY licence– Or Green OA, embargo period of no more than 6-24* months and a CC-BY-NC licence– RCUK preference is for Gold, but choice is with authors and their institutions– In five year’s time RCUK expect that 75% of outputs arising from their grants will beGold OA and 25% Green OA• Longer embargos accepted where the block grant has expired or no gold option isavailable
    8. 8. REF Post-2014 REF• HEFCE consultation closed Monday 25th March• Proposal - research publications only eligible if made openaccess at the point of publication (irrespective of funder ofunderlying research) may allow same embargo periods atRCUK• No preference for Green or Gold• Considering exemptions (book chapters, monographs)
    9. 9. Publication Policy September 2008Deposit into Enlighten:• Electronic copies of peer-reviewed journal articles and conferenceproceedings (when allowable)• Bibliographic (metadata) details of all research outputs, and toprovide the full text of other research outputs where appropriate.In order to:• increase the visibility of research publications associated with theUniversity of Glasgow• maximise the value for the university e.g. league tables• Comply with funder requirements
    10. 10. University’s approach to Open Access• RPSC discussed RCUK Policy– Current instruction is to go green where this is possible to comply with funderterms• Staff must provide details of ALL articles accepted forpublication to:• Library administer institutional Open Access funds– Identifying papers for which payment of an APC is necessary– Liaising with the publisher on behalf of the author– Advising on whether deposit into Enlighten is acceptable alternative to paymentof an APC (checking publisher/journal copyright procedures) case-by-case
    11. 11. Central funds for gold open access costs areavailable where all three conditions are met:• Research was funded by RCUK* or Wellcome Trust• Funds are not available in the underlying grant• Green open access is not possible*includes studentships
    12. 12. • All papers must include acknowledgement of the funding thatsupported the research. Recommended format This work wassupported by the Natural Environment Research Council[grant number xxx]‘• ‘This research received no specific grant from any funding agencyin the public, commercial, or not-for profit sectors.’• A list of standard names for major UK research funders isavailable at:•• RCUK mandate inclusion of funder referenceFunder AcknowledgementACTION: Encourage inclusion of funding reference in papers
    13. 13. • Papers should also include a statement on how theunderlying research materials - such as data, samples ormodels – can be accessed. It is not necessary that the dataitself be openly accessible if there are compelling reasonsagainst this• RCUK mandateData AccessLord Kelvindoesn’t workthere now?ACTION: Encourage inclusion of a dataset reference in papers
    14. 14. • Data registry in test• Datacite• Data storage• Link to national registry• Communication• Interviews• Workshops• Survey• Report RSPC June 2013Data Management – What?
    15. 15. • Using RCUK Classifications• More meaningful to end users than Library of Congress• Available from RCUK for 1/3 of our awards• Testing in Data Registry• Working with Corporate Communications to deliverweb viewsResearch Themes – What?
    16. 16. Click on ‘?’ For help
    17. 17. SHERPA/FACT site in development :
    18. 18. What MUST staff do?• Capture outputs(Email when a paper is accepted - spreadsheet template:• Add funder name/s and funder award reference/s toacknowledgements• Add a statement on how to access underlying researchmaterials to acknowledgements• Listen, communicate, plan• Early days - don’t worryKey Actions
    19. 19. Questions/Discussion
    20. 20. •••