Open Access Publishing: Briefing Session Wednesday 10 th April 2013 Chris Banks University Librarian and Director, Library, Special Collections and Museums

"There are many degrees and kinds of wider and easier access to this [peer reviewed journal] literature. By 'open access' to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of articles...“ Budapest Open Access Initiative, 2002 So OA involves: Peer reviewed journal literature Free online/internet access by anyone, anywhere Supplementing, not replacing, journals Big drive for free public access to publicly funded research Open access: what exactly is it?

Benefits of Open Access publishing Increased: Visibility Usage Impact

Open access: two modes Green: Typically pre-print Sometimes subject to an embargo following publication Institutional / Subject repositories Gold: APC payable Open access from point of publication Richer for searching and mining purposes

Existing mandates and models Funder Mandates: Wellcome BBSRC Publisher models: BioMed Central PLOS One

Established repository infrastructure Subject repositories, e.g.: UK PubMed Central arXiv HE repositories and Research Information Systems e.g.: PURE AURA –

Recent OA Developments

Brief chronology October 2011: Finch Group set up June 2012: Finch Group reports July 2012: RCUK announces new OA Policy September 2012: Willetts BIS OA pump-priming funding announced November 2012: RCUK announces block grant funding for universities March 2013: RCUK announces revised OA Policy and Guidelines April 2012: commencement of new RCUK funding and compliance regime

Finch Group: remit Remit of the Group was: To look at how to expand access to peer reviewed publications (in journals) To make more publications accessible to more people – free if possible To develop a sustainable access model and develop a programme of action

Finch Report Findings OA journals should be the main channel for publication of research, especially publicly funded research OA publishing to be funded by APCs Need to develop institutional publication funds for APCs Reduce significantly restrictions on re- use...CC-BY licence Warmly received by BIS Issues Concern over demotion in role for Green OA route How do HEIs sufficiently resource publication funds? Length and application of embargo periods Licensing issues

RCUK mandate from 1 April

RCUK OA Policy: key points Applies to publication of RCUK funded peer-reviewed research articles and conference proceedings Supports both Gold and Green OA but clear preference for Gold Block grant funding for OA publishing available to institutions from April 2013 for RCUK-supported research Journey towards full OA is “a process and not a single event” – transition period of 5 years towards full OA RCUK to undertake comprehensive review of its OA policy in 2014 “and periodically thereafter” RCUK is “mindful that the impact of its policy on different disciplinary areas is different and likely to be varied” and has allowed for different embargo periods across disciplines

RCUK Policy (as revised 6 th March 2013) Peer reviewed research wholly or partially funded by RCUK: 1.must be published in journals compliant with Research Councils policy and 2.must include details of the funding that supported the research, and a statement on access to the underlying research materials

Journal compliance: Option 1 RCUK has a preference for Immediate OA and recognises a journal as being compliant with their OA policy if: The journal provides, via its own website, immediate and unrestricted access to the final published version of the paper, which should be made available using the Creative Commons Attribution (CC BY) licence and allows immediate deposit of the final published version in other repositories without restriction on re ‐ use. This may involve payment of an ‘Article Processing Charge’ (APC) to the publisher – Gold OA The CC-BY licence should be used in this case

Journal compliance: Option 2 Where a publisher does not offer option 1 (Gold OA), the journal must allow what is effectively Green OA: Deposit of the final Accepted Manuscript in any repository, without restriction on non-commercial re-use and within a defined period Delay of no more than 6 months between on-line publication and a research paper becoming Open Access (12 months for papers in AH&SS – mainly AHRC and ESRC funded research) In this option no ‘Article Processing Charges’ will be payable to the publisher But “RCUK will allow some flexibility in implementation of its policy, especially regarding the length of embargo periods”

Option 3: “Publisher’s Decision Tree” “... A mixed approach to Open Access; and the decision on which model to follow remains at the discretion of the researchers and their research organisations.” “...journals which are not compliant with RCUK policy must not be used to publish research papers arising from Research Council funded work apart from in the special cases during the transition period...” i.e. longer embargo periods are allowed where: APCs are unavailable during the transition and Where an author’s preference is ‘pay-to-publish’ and their first choice of journal offers this option, but there are insufficient funds to pay for the APC, RCUK prefers prefer the author to seek an alternative journal with an affordable ‘pay-to-publish’ option or with an option with embargo periods of six or twelve months but RCUK recognises that this may not be a feasible option especially in non-STEM disciplines. In such a case “we would expect the paper to be published in a journal with the embargo of 12 months, or 24 months in AH&SS...”

Ideally, a research paper should become Open Access as soon as it is published on ‐ line. However, RCUK recognises that, in the green model of open access, embargo periods are currently used by some journals with business models that depend on generating revenue through journal subscriptions. Therefore, where a journal does not offer an immediate Open Access option, RCUK will accept a delay between on ‐ line publication and a paper becoming Open Access of no more than six months, in STEM disciplines. This flexibility for embargo periods during the transition is reflected in the following decision tree for publicly funded research, created by the Publishers’ Association. When using the decision tree it should be noted that although our preference is for immediate, unrestricted open access(‘Gold’), we allow a mixed approach to Open Access, and the decision on which route to follow – gold or green – remains at the discretion of the researchers and their research organisations

Publishers decision tree

Miscellaneous issues Some concerns about use of the CC-BY licence (e.g. publishers’ loss of revenue from impact on sale of reprints; issues to do with third party copyright material in articles etc) are to be monitored for the review in 2014 Where OA is achieved through the Green route then the final Accepted Manuscript must be made available using the most liberal licence, and must be without restriction on non-commercial re-use Choice of repository is at the discretion of the author and their research organisation, except where a specific Council imposes specific requirements (e.g. MRC requiring papers to be deposited in Europe PubMed Central)

Responses to Finch/RCUK Policy

Responses to Finch/RCUK Policy Various bodies strongly welcomed the commitments to: Free accessibility at point of use, and the minimal restrictions on re-use of articles Possibility of longer-term cost savings from a move to gold The continuing role for repositories But some reservations: Lack of importance attached to Green OA route and existing institutional/subject repositories Embargo periods issues/impact on smaller or learned society publishers Need for more understanding of transition scenarios in interdependences between Gold OA/Green OA; and the role of national licensing Operational issues in implementing the Report and the RCUK policy Potential high impact on journals not compliant with RCUK Policy

Developments at Aberdeen

Establishment of a WGOA with wide-ranging representation Response to BIS on spending Aberdeen’s transition funding: New publications Exploration of retrospective conversion to OA of existing published works, etc Other work: Development of an Open Access Policy Analysis of current level of publication where APCs are supported by existing RCUK funding Development of processing systems, e.g.: To manage the publication and payment processes To enable appropriate recording of activity and expenditure in order to meet University and RCUK reporting requirements To develop the case for Green OA On the publication of “Finch”

Open Access Policy development

Open Access Institutional Policy Institutional Policy on Open Access approved by Senior Management Team 4 March 2013: Requires open access for publications arising from Wellcome or RCUK funded work Green where possible Gold where publishers will not allow Green open access Encourages open access for all other publications where possible All open access enquiries and payments to be handled through single open access point within the University Library

Open Access – Monitoring Compliance RCUK and Wellcome monitor compliance through Research Outcomes System (ROS) (AHRC, BBSRC, ESRC, EPSRC, NERC) Researchfish (Wellcome, MRC, STFC)

Open Access – Monitoring Compliance RCUK and Wellcome require reporting of publications and other outcomes through their online reporting systems: ROS or Researchfish For open access compliance they require confirmation that open access has been enabled for all relevant publications entered into ROS or Researchfish ROS and Researchfish have replaced final reports and reporting is the responsibility of the Principal Investigator

Open Access Monitoring Compliance Complete record of outcomes for Open Access Compliance

Open access Aberdeen

The Changing Publishing Landscape

Researcher Funder Public Funder Institution Publisher Researcher’s traditional view of publishing... view from the past... Funding

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researcher’s view today... view today Mandate Funding Mandate Institutional Database

Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researcher’s view... with data as well !.. with data as well Mandate Funding Mandate Institutional Database Mandate # Central/subject Repository Institutional Repository Institutional Database Publisher with Data Option

Specific challenges at the University The need to implement institutional policy: for RCUK, and other funders where required on an institutional approach to OA in general Effective/efficient tracking of and recording in PURE of grant funded research and the papers flowing from them: To ensure compliance with funders’ policies Establishing the central publications fund and associated issues Procedures for accessing the publications fund Management of many small value transactions Multi authored works / international papers

Specific challenges at the University The role of the Green OA option alongside the Gold OA option Differing levels of understanding about OA: of open access publishing in general of RCUK requirements in particular in different Colleges and subject disciplines, Technical issues affecting inter-operability of relevant systems (e.g. PURE, HR and finance systems, AURA) Research data management/accessibility Advocacy Monitoring/recording Impact

HEIs working together to: Minimise costs and maximise reporting opportunities Reduce the likely local administrative costs of multiple relatively small value transactions Seek reductions in subscriptions where substantial APC payments are made (i.e. to minimise publisher “double dipping” Maintain a robust register of publishers and their policies Nottingham) Work with suppliers / aggregators on the possibility of a centrally negotiated and managed payments system Ongoing issues:

Publication of the policy Supporting web pages which include Background to OA OA policy and procedures at Aberdeen Information on the OA funds APC authorisation and application form Contact information details for further information Revised FAQ More opportunities for discussion Policy and advocacy

University resources

Further information Benefits of Open Access Publishing: cle&id=146&Itemid=308 cle&id=146&Itemid=308 University webpages: support/open-access-publishing/ support/open-access-publishing/ RCUK Policy on Open Access: cy.pdf cy.pdf RCUK FAQ: Background and context, including presentations by Dame Janet Finch, and Mark Thorley of RCUK given at the RLUK (Research Libraries UK) conference: Open Access Implementation Group: Many blogs, conferences etc

Inspire to enquire