This document discusses two routes to open access publishing - open access repositories (the "green route") and open access journal publishing (the "gold route"). It outlines how universities can support open access through institutional open access repositories, open access publication funds, clear policy direction, and guidance/support for researchers. The document provides an example of the University of Nottingham's support for open access, including its central open access fund and institutional policy on open access publishing.

1. The ‘How’ of Open Access: Implementing Open Access in Universities Stephen Pinfield Chief Information Officer and Director of the Centre for Research Communications, University of Nottingham

2. Two routes to Open Access* OA repositories: “Green route” OA journal publishing: “Gold route” * ‘Open access’ (OA): Where content is fully, freely, immediately and permanently available and can be accessed and reused in an unrestricted way (based on Pinfield, 2009)

3. Institutional approaches to OA Institutional OA repository for research outputs (green OA) OA publication fund (gold OA) Clear policy direction Proactive guidance, support and monitoring

4. Institutional support for OA repositories Institutional repository (IR) Most UK research universities now have an IR Most publishers allow deposit in a repository Encouraging their widespread use remains a challenge Advocacy and support required Integration of the IR with institutional research management processes and planning is a priority Other repositories Examples include large-scale subject repositories Institutions can raise awareness and encourage their use

5. Examples

6. Institutional support for OA journal publishing Most OA journal publishing involves an OA fee (fully-OA and ‘hybrid’ journals) Most large journal publishers have an OA option Most research funders allow OA fees to be paid as part of direct or indirect costs For publications after a grant is spent, researchers need access to funds A centrally-coordinated institutional fund is an obvious way to address this

7. An example: Nottingham central OA fund Fund set up in November 2006 Open to all members of staff Administered by the research support office Usage of the fund still relatively low but growing 2008-9, 100 articles at a cost of £120,614 Average cost per article 2006-9 £1112 Latest figures: 2009-10, 204 articles Most claimants in the medical and life sciences

8. Institutional policy development Institutions should consider establishing clear policies in relation to OA Drivers: Improving research Citation advantage Increasing research income Knowledge-transfer/impact benefits Compliance with funder requirements Policy ‘templates’ are available IPR/copyright policy important in relation to research outputs Senior academic ‘champion’ to provide leadership

9. An example: Nottingham policy This policy applies to all members of staff employed by the University of Nottingham in all campuses. All research papers (including journal articles, conference proceedings, book chapters and similar material), where copyright allows, should be made available in an open-access form upon publication. All research papers (either in the form of the author’s final manuscript or the formally-published version), where copyright allows, should be deposited in the Nottingham ePrints repository upon publication or as soon as possible thereafter. Where available, researchers should take advantage of opportunities to publish their work in an open-access form offered by journal publishers, and can make use of research grants and/or the institutional central OA fund in order to pay open-access publication fees. November 2009

10. Guidance, support and monitoring Guidance Awareness raising Discussing benefits Addressing common concerns: Quality IPR/copyright Undermining the ‘tried-and-tested’ Time constraints Proactive support Monitoring Responsibility to demonstrate compliance to funders

11. Stephen.Pinfield@Nottingham.ac.ukInformation ServicesUniversity of Nottingham