Pathfinder: Lessons in OA Compliance for HE (LOCH) University of St Andrews Case study Jackie Proven Repository & Open Access Services Manager Open Access and REF: Planning Workshop 4 Dec 2015

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St Andrews c.700 Academic staff c students (80% UG, 20% PG) 47% of students non-UK Student/staff ratio 11:4 Research intensive

Activities Publications St Andrews PURE CRIS Fed Out REF, RCUK SFC, HESA HEI – Strategic Planning, Benchmarking Public, Media Recognition / Impact Industry / SME’s Interface Collaborations Research Pools Pulled In Staff Records [HR] Student Records [Registry] University Structure [HR] Projects, Grants, KT [Finance] Manual Input Entered WoS, arXiv, PubMed, Scopus… Harvested Full Text Repository Open Access Linked Bibtex, Refman Uploaded Award/ recognition Dissemination// Engagement Entered Linked & held Research data sets (multiple locations and formats) Entered Impact Indicators Measures Case Studies Anna Clements4

Research outputs PURE Research Information System (CRIS) since 2010 DSpace repository since 2006 – now linked to PURE Approx 2,500 research publications annually 43,800 research outputs recorded in PURE 6,750 items in our repository (33% theses) Digital Research Division in Library Strong links with Research Policy Office University OA Policy

OA support Open Access Support team – 1 permanent FTE – 2 posts funded from RCUK block grant to Apr 2018 – 1 short-term ‘Pathfinder’ post External funders’ open access mandates and funds – Wellcome Trust/Charities (COAF) and RCUK – Institutional Library OA fund Selection and management of publisher schemes Copyright, licensing and policy advice Validation of deposited manuscripts Active programme of advocacy and support Repository management, journal hosting service, Pure training, REF publications support…

REF OA policy Post-2014 REF Open Access Policy Policy applies to journal articles and conference proceedings with an International Standard Serial Number (ISSN) To be eligible for REF, final peer-reviewed manuscripts must have been deposited in an institutional or subject repository on acceptance for publication HEFCE understands that not all REF outputs may be able to meet requirements and so limited exceptions will be permitted

Advocacy Check the terms of your research grant Check your publisher’s policy and copyright terms See Library web pages for guidanceLibrary web pages Contact for Keep your accepted manuscript and deposit in PURE Acknowledge funders including Grant IDs Link Projects to Publications in PURE Provide statements on access to underlying data and links where possible (or required) Use the University’s finance detail code if paying OA fees OA actions for researchers

Advocacy Check the terms of your research grant Check your publisher’s policy and copyright terms See Library web pages for guidance Contact for advice Keep your accepted manuscript and deposit in PURE Acknowledge funders including Grant IDs Link Projects to Publications in PURE Provide statements on access to underlying data and links where possible (or required) Use the University’s finance detail code if paying OA fees OA actions for researchers

Key challenge How do we get to know about new publications early enough so that the support and dialogue can begin? The natural dialogue of authors is with their publishers, not the Library University strongly encourages OA via local deposit but no mandate Do authors understand the varied options from publishers? Do authors know their funder has a mandate or if funds are available? We don’t often see the submission process or publisher’s interface

Solutions Change the culture and try to integrate a deposit process into the researchers’ publishing workflow Build dialogue through local systems and contacts Create communication channels between the researchers’ workflows and open access support Make it easier for authors.

Involving the right people Originally envisaged to cover APC processing Extended to cover REF OA policy and publication lifecycle Focus to create simple message(s) at key points Using 2014 and 2015 as a learning experience and build up to the real onset of compliance in April 2016 Lean exercise: process mapping

Pathfinder project Joint LOCH project with Edinburgh and Heriot Watt Synergies with Lean  Mini pathfinder pilot projects with academic schools to lead on best practice and efficiencies

Mini pathfinders Initial meeting with Head of School, Director of Research and/or key School managers or administrative staff Have a set of questions and discussion points ready, relevant to their discipline. Ask how they think they can achieve compliance Seed ideas for partnerships and joint working Listen!

Chemistry pilot High volume of publications and staff RCUK funding, so familiar with OA requirements Existing publisher schemes eg RSC vouchers, ACS membership New HoS, keen on getting processes in place Piloting a distributed model: – School admin staff become a hub for the deposit of publications when they are accepted for publication and do deposit into Pure – Library and RPO teams do training and support – Additional activity with specific research groups Benchmarking on progress by regular compliance reports Goal = 100% of publications meeting REF OA policy compliance

20 Jackie Proven LIBER 2015, London, June Additional actions Library advises authors on additional funder requirementsLibrary advises on funding for immediate OA Follow-up and advice Library contacts authors/office for additional information and/or correct versions Library validation Library enhances metadataLibrary checks version, applies embargoes School office enters article in PURE Create new metadata recordUpload full text accepted manuscript Author notifies School office Forward notification Send accepted manuscript Article accepted by publisher Author receives notification(Library may receive notification) Advice on data management

Support for OA compliance: Pathfinder Initial deposit in Pure at date of acceptance – mediated by School office Queries, funder requirements, Gold OA – s to open-access-supportopen-access-support Embargoes, licences, enhanced metadata – managed by OA team in Library

Computer Science Existing culture of sharing papers Used to subject repositories, not institutional systems Useful to investigate the issues surrounding Conference publications and how to deal with these for REF 2020 Proactive School manager who organises Conference attendance Pure publications will be the gold source to inform staff review Proposal to put PG joint authors of publications at the forefront of active deposit Alternative distributed model – School office becomes a hub for the deposit of publications when they are accepted for publication and prompts deposit into Pure – Library and RPO maintain close links with School manager

Supporting tools New simple webpages Help pages for PURE deposit ‘REF monitoring’ templates and workflow – mainly addressing deposit versions and acceptance date RCUK and funder compliance checklist as additional ‘layer’ on REF-monitoring work PURE full text workflow and validation checks Minimum metadata set

Checklist

Dec 2015: Pathfinder feedback and review Top-down approach has driven uptake Face-to-face interaction is a motivator ‘Stick’ (REF compliance) works Deposit ‘receipt’ would instil trust Biochemical research – opportunity to build deposit hub in Biology Hardcopy guides appreciated

Results SCHOOLAPRJULOCT Chemistry70%80%81% Computer Science25%77%89% University51%60%70% Percentage of articles & proceedings, published in 2015, with full text deposits The figures show simply that full text is deposited in Pure. These outputs are not necessarily fully REF compliant, as they may have been deposited after publication rather than at acceptance, and may not be the correct version. We are working towards being able to monitoring these aspects by April 2016.

Jackie Proven Changing profile of deposits Pure deposits validated

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Which key stakeholders will you engage with to make open access compliance happen? How do we get to know about newly accepted publications so that the support, dialogue and compliance workflow can begin? How will you resource your compliance work? Will it be centralised or distributed? Will it be mediated centrally or chiefly done by the author/researcher? Developing your own process

OA support ‘Essential information’ web pages Library web pages Blog: