M25 Consortium of Academic Libraries Directors David Sweeney Executive Chair, Research England 20 September 2019

UK Research and Innovation More that £6.5 billion per year 3900 research and business grants each year 151 universities funded 38 research and innovation performing organisations

UKRI vision UK Research and Innovation intends to be an outstanding organisation that ensures the UK maintains its world-leading position in research and innovation We will do this by creating a system that maximises the contribution of each of the component organisations and which creates the best environment for research and innovation to flourish We will preserve the strengths which have made today’s system successful, in particular around the Haldane Principle, dual support and recognition for the particular strengths and roles of each partner body

Open science in research culture Incentives Pressure on staff Reproducibility

Open Science Open data Different forms of peer review Intellectual property

Open everywhere Research is a process of investigation leading to new insights, effectively shared

Open for accountability By Maurice from Zoetermeer, Netherlands (The British Parliament and Big Ben) CC BY 2.0, via Wikimedia Commons

Open for innovation Minimising the barriers to: Ideas Data Tools

Knowledge Exchange Policy KEF – two pillars Knowledge Exchange Policy Concordat Good practice portal Commitment to improve processes KEF Metrics Performance measurement & improvement Public accountability/ user visibility

KEF Purpose(s) More accessible information and data for institutions to understand and improve their own performance. More information for businesses and other users of university knowledge and resources Increased public visibility and accountability for £250m of funding

https://www.youtube.com/watch?v=Icq_B7DeLwY&t=4s

Open for researchers

Policy instruments – UK Research and Innovation

The Research Excellence Framework (REF) and open research To be eligible for assessment journal articles and conference proceedings must be deposited and available OA with maximum embargo periods of 12 or 24 months Environment template will require information on: OA beyond minimum requirements Approach to open research data Other aspects of open research Overall quality Outputs Outputs required Impact Impact case studies Environment Environment data and template 60% 25% 15%

REF2021 timeline January 2019 Publication of final ‘Guidance on submissions’, ’Panel criteria’, and ‘Guidance on codes of practice’; appointment of additional EDAP members  Spring/summer 2019 Institutions intending to make submissions to the REF submit their codes of practice; invitation to request multiple submissions, case studies requiring security clearance, and exceptions to submission for small units (staggered deadlines in May, September and December 2019); beta versions of the submission system will be available in both test and live environments for institutions to use Autumn 2019 Pilot of the REF submission system; survey of submissions intentions opens; proposed date for inviting reduction requests for staff circumstances

REF2021 timeline December 2019 Survey of submissions intentions complete; final deadline for requests for multiple submissions, case studies requiring security clearance, and exceptions to submission for small units; publication of approved codes of practice Early 2020 Formal release of the submission systems and accompanying technical guidance; invitation to HEIs to make submissions; invitation to nominate panel members and assessors for the assessment phase; deadline for staff circumstances requests Mid 2020 Appointment of additional members and assessors to panels 31 July 2020 Census date for staff; end of assessment period (for research impacts, the research environment, and data about research income and research doctoral degrees awarded)

REF2021 timeline 27 November 2020 Closing date for submissions 31 December 2020 End of publication period (cut-off point for publication of research outputs, and for outputs underpinning impact case studies) 29 January 2021 Deadline for providing further details for outputs pending publication; redacted versions of impact case studies; and corroborating evidence held for impact case studies Throughout 2021 Panels assess submissions December 2021 Publication of outcomes Spring 2022 Publication of submissions, panel overview reports and sub-profiles

REF2021 OA policy REF OA policy is not there to catch institutions out REF aims to assess excellent research Exceptions to the policy, policy flexibility (1 April 2016 – 1 April 2018) Policy presentation Increased open access to research is resulting from considerable effort on the part of researchers, libraries, research offices

National progress towards open access UUK (2017) Monitoring the transition to open access. http://www.universitiesuk.ac.uk/policy-and-analysis/reports/Documents/2017/monitoring-transition-open-access-2017.pdf

Issues to Address:UK policy environment Changing researcher and university behavior Leading to significant progress on OA Resulting in increasing costs Stimulating move to hybrid journals rather than fully OA Limited evidence on open data Need to consider promotion and recruitment criteria

Plan S: Making full and immediate Open Access a reality M25 Libraries David Sweeney Sldes last updated: 3rd Sept 2019

Agenda Plan S and summary of changes to the Implementation Plan Working with key stakeholders Other activities Questions

Plan S : Built on strong principles No publication should be locked behind a paywall OA must be immediate, i.e. no embargo periods No copyright transfer; publication under a CC BY license by default Transparency about pricing and contracts Funders commit to support publication fees at a reasonable level Multiple routes to OA compliance Commitment to assess research outputs based on their intrinsic merit and NOT venue of publication

Implementation guidance – key changes (1) Timeline extended by one year: Calls published as of 1 January 2021 onwards Transformative arrangements will be supported until end of 2024 Greater clarity on compliance routes: cOAlition S supports a diversity of business models Plan S is NOT just about Gold OA Options for range of transformative arrangements are supported Transformative agreements and transformative journals)

Implementation guidance – key changes (2) Funders commit to implement DORA principles when undertaking research assessment Greater emphasis on the transparency of OA publication fees Option to request a CC-BY-ND licence as an exception Technical requirements for journals, platforms and repositories revised and simplified

cOAlition S: alignment of Open Access policies

OA Champion of cOAlition S appointed Johan Rooryck appointed as OA Champion of cOAlition S Will represent cOAlition S in discussions with key stakeholders, globally Over the next 3 months speaking at many meetings including: ALPSP, OASPA, AmeliCA, OA2020, and United Nations Will help promote and develop Plan S and advise cOAlition S on the ways to implement the transition to full and immediate Open Access as smoothly as possible

Working with key stakeholders: researchers Working with researcher groups to ensure we understand their concerns and find ways of mitigating them Seeking to work with Global Young Academy (and others) on developing indicators to measure impact of Plan S on ECR’s. A Task Force has been established to progress this. Ambassador network established – to engage with research community and share concerns with cOAlition S leadership team

Working with key stakeholders: publishers In active discussions with publishers – such as the Society Publishers’ Coalition, Springer Nature and others – to explore the “transformative journal” model

Working with key stakeholders: learned societies Wellcome and UKRI, in partnership with ALPSP have funded a study to explore alternative business model for learned society publishers Key deliverable will be the development of a model Transformative Agreement and implementation framework Expectation is that a number of Societies will this Agreement to offer TA’s as early as 2020

Working with key stakeholders: other OA initiatives Plan S is acting as a spur to encourage a transition to OA – as witnessed by the upsurge in transformative agreements

Other activities – Transparent Pricing Plan S Guidance specifies: “cOAlition S, in partnership with publisher representatives and other stakeholders, will define the various services (e.g., triaging, peer review, editorial work, copy editing) publishers will be asked to price.” Wellcome - in partnership with UKRI and on behalf of cOAlition S - have appointed Information Power to lead a collaborative project to develop a framework for these communications cOAlition S aims to help make the nature and prices of OA publishing services more transparent, and to enable conversations and comparisons that will build confidence amongst customers that prices are fair and reasonable The project will not explore costs, nor current or future pricing.

Other activities – cOAlition S Secretariat Establishing a formal cOAltion S Secretariat /Office to ensure that we can appoint staff, award contracts etc to take forward the work associated with the implementation of Plan S Budget defined – which will be funded by cOAlition S members who are able to make a financial contribution No obligation for cOAlition S funders to make a financial contributions Office expected to be up and running by January 2020

Other activities https://www.coalition-s.org/workplan/

Questions and discussion

OA - a global transition

Plan S – one main shared objective “After 1 January 2021 scientific publications on the results from research funded by public grants provided by national and European research councils and funding bodies, must be published in compliant Open Access Journals or on compliant Open Access Platforms.”

Where next? UKRI review of open access policies: A future open access policy for UKRI Cap on APCs? Preference for gold or green? Preference for fully OA journals? Linkage to off-setting policy? Monographs and other long form outputs REF-after-next policy (will apply to monographs published from 1 Jan 2021 onwards) Open research data Publication practice and author choice Declaration on Research Assessment (DORA), Leiden Manifesto, Metric Tide