1. Encouraging Openness - and how stakeholder policies can support or block it! CIARD webinar 5 th June 2014 Bill Hubbard Director, Centre for Research Communications

2. Outline What is Open Access and how to achieve it Incentives and Blocks Getting movement in policy development The clash of policies and expectations Supporting researchers

3. Open Access Access to research articles (and other outputs) that is free at point of use Use of research articles (and other outputs) free of most licensing restrictions Increasingly, open access to underlying research data as well

4. Routes to Open Access Depositing material in an open access repository AND publishing as normal (“Green”) Contrasted with Publishing in a journal that makes the article open access (“Gold”)

5. Repositories Listed in OpenDOAR –Institutional repositories –Subject based (i.e. Europe PubMedCentral) –Governmental repository Free for user to deposit, as centrally funded And publish as well

6. Open Access Journals Fully OA journals listed in DOAJ Also, “Hybrid” OA journals Most likely payment of a fee –£1,000 - £2,000 and up And deposit as well

7. Incentives Wider readership Greater citations More use of research Better return on investment Perpetual record of work Easier assessment of research Cross-study and meta-study research Automation, text-mining and data-mining

8. Moral case IF publicly funded research can be freely available, then surely - it should!

9. Stakeholders Authors Researchers Publishers Funders Learned societies Institutions Government Public

10. Blocks to OA policies Publishers’ traditional business models rely on selling access - how can this change? Administrative adoption of journal “brands” as measure of quality Funders reluctance to upset researchers Academics’ established publication habits Effective policies have to address each of these issues

11. Policies to encourage - don’t work RCUK policy encouraging OA in 2006 Institutions with policies encouraging OA What is the incentive to change? What is the inertia to be overcome? –Embedded publication habits; value-judgements; professional-esteem indicators; financial arrangements and expectations; complexity of proposed changes...

12. The place of funders Funder policies are the key Funders are “upstream” of all research activity Other policies have to respond to and respect these policies - and if they don’t, then the political question can be asked - why not? Conversely, without funder backing, what can succeed?

13. Time to get tough... well, a bit NIH, RCUK, European Union 7 th Framework then - the Financial Crisis UK - Finch Report UK - Government policy UK - RCUK policy EU - Horizon 2020 UK - Research Assessment 2020

14. UK Government Following Finch Committee Report Funded research to be made Open Access Maximum 12 month embargo Implication for so-called “unfunded”, in-house research

15. Research Councils UK Open Access mandatory for funded research All Councils Various embargoes allowed Gold as target, Green allowed Initial compliance target of 45%, now rising Compliance will affect future grants

16. UK Research Assessment 2020 HEFCE To be eligible - articles and conference proceedings to be made open access – from point of acceptance for publication Embargo periods are accepted Green OA - not Gold OA

17. Policy clashes Complex, restrictive policies –some publishers, e.g. Elsevier, have policies that change if the institution or funder has a policy! Push for take-up of hybrid option, for a fee –concerns of double-dipping, on national scale –speculation on fee-levels in future Moves into asking for rights in data? Consider place of publisher in process Overall picture fragmenting

18. Pity the researcher...

19. Researchers view from the past... Funder Public Funder Institution Publisher Funding Researcher

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

21. Researchers view... with data Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate Funding Mandate Institutional Database Mandate # Central/subject Repository Institutional Repository Institutional Database Publisher with Data Option

22. Integrated policy framework Authors and researchers have clarity Responsibility for compliance check is defined Funders adopt common policies Institutions harmonise their policies with funders Publishers simplify their response and adapt... and systems for archiving, payment, compliance, etc in place and automated

23. Funder policies Mandate Open Access with sanctions Recognise cost: Green cheaper than Gold Archiving - define what, when and where? Respect current conditions –allow embargoes reluctantly with the aim of elimination –allow discipline differences Have realistic targets Work with stakeholders, but insist on change

24. Inevitable development On-line journal access will become the primary form and will change to accommodate on-line potential Open Access will continue to grow and become the dominant method of research dissemination Open Access to data will develop and allow new research to be built on top Our policy structures have to support this

25. Discussion

26. Support infrastructure Repository Mediated deposit service OA publication funds Institutional OA support service Gold fee finance systems Institutional policies Funder grant compliance systems Research assessment planning

27. Support examples RoMEO - summarises Publisher policies JULIET - summarises Funder policies FACT - combined policy advice for authors OpenDOAR - lists OA repositories DOAJ - lists OA journals OAK - payment intermediary for OA fees CORE - UK national aggregation OpenAIRE - European policy support

28. Support examples - URLs OpenDOAR - www.opendoar.org DOAJ - www.doaj.org RoMEO - www.sherpa.ac.uk/romeo JULIET - www.sherpa.ac.uk/juliet FACT - www.sherpa.ac.uk/fact OAK - www.openaccesskey.com CORE - core.kmi.open.ac.uk OpenAIRE - www.openaire.eu

29. Bill Hubbard Director, Centre for Research Communications bill.hubbard@nottingham.ac.uk Contact

30. Abstract Funders, authors and readers may want open access to research, but can they achieve it? A researcher who has been encouraged to make their work open has to deal with regulations, guidance, and mandates from their institution, their funders, their publisher and their national government. These policies are often complex and can be ambiguous, or in conflict with each other. A supportive policy environment and guidance through the relationship of one policy to another has proved to be essential for real progress in opening access to research. How should policies support the researcher and the research process? How can policies based on commercial profit fit into an open environment? What role do funders have in protecting their investment and the public interest? The webinar will address these issues, reflect on current policies and suggest best practice.