Open Access comes of age:
implementing Open Access policies at
UCL, University of Manchester and
beyond
Catherine Sharp, U...
Open access at UCL
Catherine Sharp
Open Access Funding Manager
catherine.sharp@ucl.ac.uk
Research at UCL
• c4,800 staff & postdocs
• c4,500 research students
• at least 9,000 research publications p.a.
Open acce...
345 papers in 2012-13
target 693
achieved 753 (March 2013) (109%)
projected 798 (115%)
20 27 25 26
39
50 55 52 51
85
68
15...
Article Processing Charges
656
434
487
1577
1577 APCs processed since April 2013
March figures incomplete, pending pre-pay...
Payments: publisher membership schemes
Staffing structure
Open Access Funding
Assistant
Open Access Funding
Assistant – fixed term
Open Access
Compliance Officer...
What data do we record?
Open access advocacy
Open access
Communication Plan
• Different publisher & funder policies
• Authors need a very responsive, personal service, with minimal form-filling
• Li...
www.ucl.ac.uk/library/open-access
open-access@ucl.ac.uk
@UCLOAfunding
Open Access at Manchester
Helen Dobson
Research Services Librarian
University of Manchester Library
Member of
Russell Group
Founded
in 1824
Largest
single-site
UK
university
4 faculties
26 schools &
institutes
20 cross-
di...
RCUK Policy on Open Access and
Supporting Guidance
The University Library Open Access Pump-Priming Project
• Goal 1 Introduce a change of culture to prepare researchers for ...
Staffing Resource
Open
Access
Team
Research
Services
Team
Finance
Team
Marketing
Team
Academic
Engagement
Team
Acquisition...
Communication and Advocacy
Faculty Research
Committee
School Research
Committee
School Board Meeting
Research Support Staff
Conference
a.professor
Systems & Processes
Value for Money
RCUK block grant: £824,459
Publisher Prepayment Deals
Project Reflection
Recommendations
• Support service on campus
• Engage in community-wide problem solving
• Share data & experience
RCUK OA ...
Title for text slide 24 point
with 1 line spacing after
Sub-title 18pt with 1 line spacing after
Main copy size 14 point
L...
OPEN ACCESS INTERMEDIARIES
Rob Johnson
Director, Research Consulting
THE ROLE OF INTERMEDIARIES
IN OPEN ACCESS
Systems and processes
associated with the
payment of APCs are sub-
optimal…
…No ...
INTERMEDIARY SERVICE
PROVIDERS TODAY
OPEN ACCESS AT THE
UNIVERSITY OF NOTTINGHAM
2001 – Repository
established
2007 – University
publication fund
established
2...
USING AN INTERMEDIARY
Jan 2013 – Adopted
Open Access Key as
APC intermediary
May 2013 – OAK
service migrated to
JISC APC
A...
USING AN INTERMEDIARY
Lessons
learned…
(c) iStock, image used under licence
Publishers Universities
(c) iStock, image used under licence
(c) iStock, image used under licence
v
Deposit
account
Develop internal systems
Developinternal
systems
Membership/
discount
SizeofPublisher
Size of institutio...
COLLECTION OF METADATA –
INSTITUTIONAL PERSPECTIVE
Capture data in
standardised form
Intermediary
Pub
Pub
Pub
Pub
Pub
Pub
...
HOW CAN INTERMEDIARIES
HELP?
1.Transaction management – including publisher
prepayments
2.Improved author experience (but ...
THANK YOU
rob.johnson@researchconsulting.co.uk
www.linkedin.com/in/robjohnsonresearchconsulting
www.researchconsulting.co....
QUESTIONS?
Catherine Sharp, UCL
Helen Dobson, University of Manchester
Rob Johnson, Research Consulting
UKSG Conference 14...
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
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UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond

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  • Chart experience of University of NottinghamStrong advocate of OAPolicy committed the University to meet the costs of OA publication
  • Chart experience of University of NottinghamWhy the change of direction?COSTSubscriptions budget of c£4mGone from spending £250k/year on APCs, to forecasting £1m+ on top of subscriptionsNot that UoN couldn’t fund it, but opportunity cost too great – vs. studentships, equipment, researchRebalancing of costs away from teaching-focussed to research intensive institutions
  • Chart experience of University of NottinghamWhy the change of direction?COSTSubscriptions budget of c£4mGone from spending £250k/year on APCs, to forecasting £1m+ on top of subscriptionsNot that UoN couldn’t fund it, but opportunity cost too great – vs. studentships, equipment, researchRebalancing of costs away from teaching-focussed to research intensive institutions
  • Number of different potential payment models, needs will between different publishers and institutions
  • Need to standardise this to be able to establish what’s going on
  • UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond

    1. 1. Open Access comes of age: implementing Open Access policies at UCL, University of Manchester and beyond Catherine Sharp, UCL Helen Dobson, University of Manchester Rob Johnson, Research Consulting UKSG Conference 14th & 15th April 2014
    2. 2. Open access at UCL Catherine Sharp Open Access Funding Manager catherine.sharp@ucl.ac.uk
    3. 3. Research at UCL • c4,800 staff & postdocs • c4,500 research students • at least 9,000 research publications p.a. Open access at UCL • Open access “underpins UCL‟s research mission” • c20,000 full-text in UCL Discovery • 4 million downloads • UCL open access fund – choice of Gold/Green is “academic decision” • UCL Press
    4. 4. 345 papers in 2012-13 target 693 achieved 753 (March 2013) (109%) projected 798 (115%) 20 27 25 26 39 50 55 52 51 85 68 158 6 0 2 1 0 0 1 1 15 33 38 0 20 40 60 80 100 120 140 160 180 RCUK Green RCUK Gold Prepayment figures for Feb/March incomplete, pending publisher returns. „Committed‟ figure includes known pre- paid APCs; to be confirmed in publisher returns
    5. 5. Article Processing Charges 656 434 487 1577 1577 APCs processed since April 2013 March figures incomplete, pending pre-payment returns from publishers 30 59 56 71 101 124 181 150 149 194 183 0 50 100 150 200 250 Apr-13 May-13 Jun-13 Jul-13 Aug-13 Sep-13 Oct-13 Nov-13 Dec-13 Jan-14 Feb-14 RCUK Wellcome UCL Gold All APC
    6. 6. Payments: publisher membership schemes
    7. 7. Staffing structure Open Access Funding Assistant Open Access Funding Assistant – fixed term Open Access Compliance Officer – fixed term Author advice Payments Prepayment checks Advocacy Publisher negotiation Budgets & management reporting Funder & UCL compliance Advocacy Open Access Funding Manager
    8. 8. What data do we record?
    9. 9. Open access advocacy
    10. 10. Open access Communication Plan
    11. 11. • Different publisher & funder policies • Authors need a very responsive, personal service, with minimal form-filling • Licences need explaining BUT • Bureaucratic publisher systems, with confusing options • Invoice payments cumbersome • We need information directly from author: funder references, grant holders SO • We reduce admin for authors and influence publishers to build better systems • Keep abreast of publishers‟ policies and funders‟ requirements • Manage budgets effectively Complications and challenges
    12. 12. www.ucl.ac.uk/library/open-access open-access@ucl.ac.uk @UCLOAfunding
    13. 13. Open Access at Manchester Helen Dobson Research Services Librarian University of Manchester Library
    14. 14. Member of Russell Group Founded in 1824 Largest single-site UK university 4 faculties 26 schools & institutes 20 cross- discipline centres 4000+ research staff 3500+ PGRs 4500 research papers01 3/
    15. 15. RCUK Policy on Open Access and Supporting Guidance
    16. 16. The University Library Open Access Pump-Priming Project • Goal 1 Introduce a change of culture to prepare researchers for the launch of Open Access policies from RCUK and other funders • Goal 2 Establish structures and processes to support the new RCUK and Wellcome Trust policies from April 2013 • Goal 3 Implement technical developments required to underpin the processing and reporting of Open Access activity within the University • Goal 4 Pilot payment of Article Processing Charges (APCs) to support publishing of research articles in Gold OA journals
    17. 17. Staffing Resource Open Access Team Research Services Team Finance Team Marketing Team Academic Engagement Team Acquisitions Team eScholarship Team
    18. 18. Communication and Advocacy
    19. 19. Faculty Research Committee School Research Committee School Board Meeting Research Support Staff Conference
    20. 20. a.professor
    21. 21. Systems & Processes
    22. 22. Value for Money RCUK block grant: £824,459
    23. 23. Publisher Prepayment Deals
    24. 24. Project Reflection
    25. 25. Recommendations • Support service on campus • Engage in community-wide problem solving • Share data & experience RCUK OA Policy compliance achieved
    26. 26. Title for text slide 24 point with 1 line spacing after Sub-title 18pt with 1 line spacing after Main copy size 14 point Line spacing 1.2 for all text •Bullet 1 use standard bullet - Bullet 2 use for secondary bullet Thank you uml.openaccess@manchester.ac.uk
    27. 27. OPEN ACCESS INTERMEDIARIES Rob Johnson Director, Research Consulting
    28. 28. THE ROLE OF INTERMEDIARIES IN OPEN ACCESS Systems and processes associated with the payment of APCs are sub- optimal… …No clear consensus on the role of intermediaries might most effectively play and how. 18 months ago… But
    29. 29. INTERMEDIARY SERVICE PROVIDERS TODAY
    30. 30. OPEN ACCESS AT THE UNIVERSITY OF NOTTINGHAM 2001 – Repository established 2007 – University publication fund established 2009 – Institutional Open Access Policy adopted
    31. 31. USING AN INTERMEDIARY Jan 2013 – Adopted Open Access Key as APC intermediary May 2013 – OAK service migrated to JISC APC April 2014 – End of JISC APC Pilot
    32. 32. USING AN INTERMEDIARY Lessons learned…
    33. 33. (c) iStock, image used under licence
    34. 34. Publishers Universities (c) iStock, image used under licence
    35. 35. (c) iStock, image used under licence
    36. 36. v Deposit account Develop internal systems Developinternal systems Membership/ discount SizeofPublisher Size of institution (article volumes) Single invoice Fixed price agreement WHERE DO INTERMEDIARIES FIT IN?
    37. 37. COLLECTION OF METADATA – INSTITUTIONAL PERSPECTIVE Capture data in standardised form Intermediary Pub Pub Pub Pub Pub Pub Pub Pub Pub ReportingReporting Management reporting Accounting transactions Reporting to funders Authors Reporting Collect any missing data eg funders, licenses (If not obtained via pre- approval process)
    38. 38. HOW CAN INTERMEDIARIES HELP? 1.Transaction management – including publisher prepayments 2.Improved author experience (but perhaps not yet?) 3.Data, data, data • Streamlining processes for managing compliance • Promoting adoption of standard metadata forms and unique identifiers
    39. 39. THANK YOU rob.johnson@researchconsulting.co.uk www.linkedin.com/in/robjohnsonresearchconsulting www.researchconsulting.co.uk
    40. 40. QUESTIONS? Catherine Sharp, UCL Helen Dobson, University of Manchester Rob Johnson, Research Consulting UKSG Conference 14th & 15th April 2014

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