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 PinfieldChief 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 OAInstitutional OA repository for research outputs (green OA)OA publication fund (gold OA)Clear policy directionProactive guidance, support and monitoring

4. Institutional support for OA repositoriesInstitutional repository (IR)Most UK research universities now have an IRMost publishers allow deposit in a repositoryEncouraging their widespread use remains a challengeAdvocacy and support requiredIntegration of the IR with institutional research management processes and planning is a priorityOther repositoriesExamples include large-scale subject repositoriesInstitutions can raise awareness and encourage their use

5. Examples

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

7. An example: Nottingham central OA fundFund set up in November 2006Open to all members of staffAdministered by the research support officeUsage of the fund still relatively low but growing2008-9, 100 articles at a cost of £120,614Average cost per article 2006-9 £1112Latest figures: 2009-10, 204 articlesMost claimants in the medical and life sciences

8. Institutional policy developmentInstitutions should consider establishing clear policies in relation to OADrivers:Improving researchCitation advantage Increasing research incomeKnowledge-transfer/impact benefits Compliance with funder requirementsPolicy ‘templates’ are availableIPR/copyright policy important in relation to research outputsSenior academic ‘champion’ to provide leadership

9. An example: Nottingham policyThis 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 monitoringGuidanceAwareness raisingDiscussing benefitsAddressing common concerns:QualityIPR/copyrightUndermining the ‘tried-and-tested’Time constraintsProactive supportMonitoringResponsibility to demonstrate compliance to funders

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