1. UCL LIBRARY SERVICES Open Access Challenges and Opportunities in 2015: a view from the UK Dr Paul Ayris Director of UCL Library Services and UCL Copyright Officer Chief Executive, UCL Press Chair of the LERU community of Chief Information Officers Adviser to the LIBER Board on Horizon 2020 and EU issues e-mail: p.ayris@ucl.ac.uk

2. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 2 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

3. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 3 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

4. UCL LIBRARY SERVICES National OA Policy?  Wellcome Trust and associated charities (COAF)  http://www.wellcome.ac.uk/Ab out-us/Policy/Spotlight- issues/Open-access/Charity- open-access-fund/ http://www.wellcome.ac.uk/Ab out-us/Policy/Spotlight- issues/Open-access/Charity- open-access-fund/  Will provide single block grants to 36 universities to pay for Gold OA APCs resulting from research they fund 4

5. UCL LIBRARY SERVICES Research Councils UK  RCUK has policy on OA  See http://www.rcuk.ac.uk/research/openaccess/policy/http://www.rcuk.ac.uk/research/openaccess/policy/  Policy follows Finch Report in favouring Gold OA  http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch- Group-report-FINAL-VERSION.pdf http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch- Group-report-FINAL-VERSION.pdf  RCUK will pay block grants to universities for set proportions of their funded research outputs to be available as OA outputs  Applies to journal articles and conference proceedings, not monographs  Outputs need to have CC-BY licence attached 5

6. UCL LIBRARY SERVICES Research Councils UK  Independent Review of the RCUK policy now published  See http://www.rcuk.ac.uk/research/openaccess/2014review/http://www.rcuk.ac.uk/research/openaccess/2014review/  Review questions whether there is a national UK OA policy which academics understand  Universities found it difficult to account for the first year’s RCUK spend  Much confusion about the need for CC-BY licences – with Arts, Humanities and Social Science preferring different solution  Is the RCUK policy scalable to cover all RCUK-funded research outputs?  See http://poynder.blogspot.co.uk/2015/03/ucl-vice-provost- comments-on.html for a rejoinder to the Reviewhttp://poynder.blogspot.co.uk/2015/03/ucl-vice-provost- comments-on.html 6

7. UCL LIBRARY SERVICES Game Changer?  REF 2020 has set new OA policy  http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/ http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/  Author’s peer-reviewed manuscript must be deposited in an institutional or subject repository  And no later than 3 months after acceptance  Applies to journal articles and conference proceedings  Respect embargo periods set by publishers  Some exceptions to OA requirement allowed  Policy not directly funded by HEFCE 7

8. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 8 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

9. UCL LIBRARY SERVICES Funding for OA in the UK: Funding sources  UK Funders  Wellcome Trust  Research Council UK (RCUK)  International Funders  European Research Council 9

10. UCL LIBRARY SERVICES UCL’s compliance with the Wellcome Trust mandate YearWellcome- acknowledged UCL papers in PubMed Number of those papers in PMC Percentage compliance 200948430563% 201052836168% 201156242375% 201265649275% 201375257476% 2014 to 31/7/1472552873% 10

11. UCL LIBRARY SERVICES  Transition period to OA - 5 years (from 2013)  Year 1: 45% of RCUK-funded outputs to be OA  Year 2: 53% of funded outputs should be OA  By Year 5: 75% of funded outputs should be OA  Universities should establish Institutional Publication Funds to manage the RCUK Block Grant and to fund OA for unfunded authors 11 RCUK Policy Targets

12. UCL LIBRARY SERVICES RCUK compliance Years 1 and 2 (12/14, 14/15  Year 1: UCL Target – 693 papers  UCL Achievement – 797 papers – 115% of target  Year 2: UCL Target – 815 papers  UCL Achievement – 963 papers – 118% of target 12 ThemeNo. Total reported publications in UK with RCUK funding20580 Total no. of Gold publications9297 Total no. of Green publications3355 Total reported ‘non-compliant’ publications5121 No. of Gold publications arising from spend6504 Median average institutional APC£1614 Maximum average institutional APC£2392 Minimum average institutional APC£1233 Data from the RCUK Review Report

13. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 13 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

14. UCL LIBRARY SERVICES Funding for OA in the UK: Costs of Implementation for RCUK  Research Consulting undertook a study of the costs of OA implementation  http://www.researchconsulting.co.uk/wp- content/uploads/2014/11/Research-Consulting-Counting-the- Costs-of-OA-Final.pdf http://www.researchconsulting.co.uk/wp- content/uploads/2014/11/Research-Consulting-Counting-the- Costs-of-OA-Final.pdf  For RCUK policy  Article Processing charges : £11 million  Administration : £9.2 million  Infrastructure, Advocacy, Management 14

15. UCL LIBRARY SERVICES Funding for OA in the UK: Costs of Implementation for HEFCE REF mandate  Costs of implementation : £4-5 million  Administration : £9.2 million  Infrastructure, Advocacy, Management  Costs of Gold OA administration : £81 per article  Costs of Green OA administration : £33 per article  1 FTE extra needed for every 1500 repository deposits  1 FTE extra needed for every 500 APCs 15

16. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 16 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

17. UCL LIBRARY SERVICES Double Dipping  Countries which favour Gold OA have to pay APCs for Gold OA and journal subscriptions costs  Sometimes called Double Dipping  Better called Total Cost of Ownership  JISC Collections has produced a set of Principles to guide negotiations  https://www.jisc- collections.ac.uk/Global/News%20files%20and%20docs/Principles -for-offset-agreements.pdf https://www.jisc- collections.ac.uk/Global/News%20files%20and%20docs/Principles -for-offset-agreements.pdf 17

18. UCL LIBRARY SERVICES Total Cost of Ownership  Principle 2  Systems should ensure that publishers do not charge the same institutions twice, through the payment of subscriptions and the payment of APCs  Solution is to implement offsets, either against the subscription price or against the cost of APCs  UK agreement with Springer a good model  http://www.jisc.ac.uk/news/springer-and-jisc-reach-agreement-31- mar-2015 http://www.jisc.ac.uk/news/springer-and-jisc-reach-agreement-31- mar-2015 18

19. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 19 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

20. UCL LIBRARY SERVICES UCL’s repository 20

21. UCL LIBRARY SERVICES UCL Discovery OA coverage, 2011 - Publication Year Total records in Discovery OA records in Discovery OA records pendingTotal OA OA as % of all records 201117585212143216412% 201217458241656247214% 2013172352709144285317% 20141467326331024365725% 2015304425458884228% 21 Results as of March 2015

22. UCL LIBRARY SERVICES UCL Discovery OA coverage, 2011 - Publication Year Total records in Discovery OA records in Discovery OA records pendingTotal OA OA as % of all records 201117585212143216412% 201217458241656247214% 2013172352709144285317% 20141467326331024365725% 2015304425458884228% 22 Results as of March 2015

23. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 23 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

24. UCL LIBRARY SERVICES UCL Publishing model  Journal publishing platform  OJS (Open Journal Systems) overlaying UCL Discovery as storage layer  Peer-reviewed journals  Run by academic Editorial Committees  Research Monograph list being launched in 2014-15  10 titles in year 1  Using Open Monograph Press  Textbook infrastructure  Being constructed with JISC project monies 24  Open Access is an opportunity, not a threat  See http://www.ucl.ac.uk/ library/ucl-press http://www.ucl.ac.uk/ library/ucl-press

25. UCL LIBRARY SERVICES UCL Publishing model  Open Access business model  Sales via Print on Demand/enhanced e-models  Books will be peer reviewed before publication  Innovative technical solutions for Monographs and Textbooks  Open up publishing to new communities  Global impact for the University as an outcome 25 A Box of Useful Knowledge (Brougham Papers, UCL Library Services )

26. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 26 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

27. UCL LIBRARY SERVICES RCUK workflow process 27

28. UCL LIBRARY SERVICES 28

29. UCL LIBRARY SERVICES 29

30. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 30 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

31. UCL LIBRARY SERVICES Advocacy  UCL advocacy  Website guidance at http://www.ucl.ac.uk/library/open-accesshttp://www.ucl.ac.uk/library/open-access  Meetings with individual Departments and research teams  Training for Open Access  OAI Workshops in Geneva  9 th OAI Workshop is being held 17-19 June 2015  THE event for Open Access in Europe  Advocacy  Include Vice-Chancellors in advocacy campaigns 31

32. UCL LIBRARY SERVICES Advocacy  LERU (League of European Research Universities)  Vice-Chancellors issued a statement on 18 March 2015  Condemning Double Dipping  Encouraging Publishers and all stakeholders to produce solutions  Calling on all European countries to work on this challenge  http://www.leru.org/index.php/public/news/leru-calls-for- fundamental-change-to-the-financial-model-behind-journal- publishing/ http://www.leru.org/index.php/public/news/leru-calls-for- fundamental-change-to-the-financial-model-behind-journal- publishing/ 32

33. UCL LIBRARY SERVICES Contents  National OA policy?  Funding for OA in the UK  Funding sources  Cost of Green/Gold OA implementation  Double Dipping  UCL and OA  UCL Discovery  UCL Press  OA workflows  Advocacy for OA  Conclusions 33 Plaster Relief by John Flaxman, Flaxman Gallery, UCL

34. UCL LIBRARY SERVICES Conclusions  UK OA policy is a mixture of approaches  Conflicting ideas  Confusing for academics  Research funders provide OA funds  Administrative costs of managing OA are not trivial  Countries need to act on Double Dipping  Advocacy is crucial to successful OA programmes 34

35. UCL LIBRARY SERVICES Conclusions  UCL has made good progress in setting up OA mechanisms and infrastructures  UCL Press is an exciting initiative in OA university publishing  The workflow for academics in managing OA is complex and they need support 35