1. UCL LIBRARY SERVICES Science 2.0: Open Access to research publications Dr Paul Ayris Director of UCL Library Services and UCL Copyright Officer Chief Executive, UCL Press President of LIBER (Association of European Research Libraries Chair, LERU Chief Information Officer community (League of European Research Universities) e-mail: p.ayris@ucl.ac.uk

2. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

3. UCL LIBRARY SERVICES Bibliography  Rachel Hill and Martin Moyle (2010) Investigating the impact of e-theses at DCU. Presented at: LIBER 2010 Annual Conference, Aarhus, Denmark.  http://discovery.ucl.ac.uk/19955/ http://discovery.ucl.ac.uk/19955/  LERU Roadmap Towards Open Access (2011)  http://www.leru.org/files/publications/LERU_AP8_Open_Access.pdf http://www.leru.org/files/publications/LERU_AP8_Open_Access.pdf  Finch Report (2012). Accessibility, sustainability, excellence: how to expand access to research publications  http://www.researchinfonet.org/publish/finch/ http://www.researchinfonet.org/publish/finch/  UCL Responses (2012)  http://poynder.blogspot.com.es/2012/06/finch-report-in-global-open- access.html and http://poynder.blogspot.com.es/2012/06/finch- report-ucls-david-price-responds.html http://poynder.blogspot.com.es/2012/06/finch-report-in-global-open- access.htmlhttp://poynder.blogspot.com.es/2012/06/finch- report-ucls-david-price-responds.html

4. UCL LIBRARY SERVICES Bibliography  RCUK Policy on Open Access (2012, updated 2013)  http://www.rcuk.ac.uk/research/outputs/ http://www.rcuk.ac.uk/research/outputs/  John Houghton and Alma Swan, Going for Gold? The costs and benefits of Gold Open Access for UK research institutions: further economic modelling. (2012)  Scott Jaschik, Not so Fast on Open Access (2012)  http://blog.historians.org/2012/09/aha-statement-on-scholarly- journal-publishing/ http://blog.historians.org/2012/09/aha-statement-on-scholarly- journal-publishing/  UCL Open Access website (2013-)  http://www.ucl.ac.uk/library/open-access http://www.ucl.ac.uk/library/open-access

5. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

6. UCL LIBRARY SERVICES  Founded in 2002, LERU advocates education through an awareness of the frontiers of human understanding; the creation of new knowledge through basic research, which is the ultimate source of innovation in society; and the promotion of research across a broad front in partnership with industry and society at large.LERU  The purpose of the League is to advocate these values, to influence policy in Europe and to develop best practice through mutual exchange of experience. LERU regularly publishes a variety of papers and reports which make high-level policy statements, provide in-depth analyses and make concrete recommendations for policymakers, universities, researchers and other stakeholders.  21 member universities

7. UCL LIBRARY SERVICES The Mappa Mundi '... it is without parallel the most important and most celebrated medieval map in any form, the most remarkable illustrated English manuscript of any kind, and certainly the greatest extant thirteenth-century pictorial manuscript.‘ Christopher de Hamel Mappa Mundi

8. UCL LIBRARY SERVICES Benefits of Open Access  Institutional  Provides a front-end to the whole of a University’s research output  Supports marketing for a University’s offering across the globe  Personal  Citation advantage for those who disseminate in Open Access  Society  Enables new communities outside Higher Education to view blue-skies research, e.g. Small/Medium-Sized Enterprises (SMEs)  Political  Decision and Policy Makers will have full access to University’s research

9. UCL LIBRARY SERVICES Green route  Institutional repositories provide a basis for Open Access approaches (para. 20)  Costs vary from €30,000 - €242,000 per year in the UK (para. 22)  Communications Strategy needed to support advocacy (para. 23)  Universities need to be clear about what type of material is being deposited (para. 25)  Roadmap available at http://discovery.ucl.ac.uk/1310639/http://discovery.ucl.ac.uk/1310639/

10. UCL LIBRARY SERVICES Green route  University of Helsinki requires authors to deposit copies of their research articles published in academic journals in HELDA – the institutional repository (para. 25)  Open Access Strategy should be embedded in pan- University Strategies (para. 30)  Research  Copyright  Teaching & Learning

11. UCL LIBRARY SERVICES Green route  LERU Universities can consider adopting Open Access mandates at an institutional level (paras 32-34)  Authors should not assign their copyright to publishers  Better model is for authors to grant non-exclusive rights to an author to publish (para. 35)  Research data, once made available in Open Access, opens up opportunities for re-use and collaboration (para. 36)

12. UCL LIBRARY SERVICES Gold route  Changes are taking place in scholarly publishing across the world and LERU institutions are not exempt (para. 40)  Sustainable Business Models for Gold Open Access publishing need to be developed (para. 42)  Two models currently exist  Full Open Access journals  Hybrid Journals, which allow Author-Pays charges  Problem of ‘double dipping’ should be addressed (paras 43-4)

13. UCL LIBRARY SERVICES Gold route  LERU, perhaps with others, could investigate reductions in Author Payment charges with publishers and membership fees with Open Access publishers (para. 46)  Changes to existing publishing models will incur transition costs  LERU and/or other Universities can work with other stakeholders to leverage funding (para. 48)  LERU institutions can work with Open Access monograph publishers  Particularly where the languages are other than English (para. 49)

14. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

15. UCL LIBRARY SERVICES  See http://www.researchinfonet.org/publish/finch/http://www.researchinfonet.org/publish/finch/  Report to Department of Business, Innovation and Skills  UCL responses  See http://poynder.blogspot.com.es/2012/06/finch-report-in-global- open-access.html and http://poynder.blogspot.com.es/2012/06/finch- report-ucls-david-price-responds.htmlhttp://poynder.blogspot.com.es/2012/06/finch-report-in-global- open-access.htmlhttp://poynder.blogspot.com.es/2012/06/finch- report-ucls-david-price-responds.html 15 Finch Report

16. UCL LIBRARY SERVICES Finch Recommendations  Gold Open Access is the future  UK produces 6% of world’s global research output  For an extra £38 million to UK HE, UK research outputs could be published as Gold OA research outputs  Green OA would be for grey literature, theses 16

17. UCL LIBRARY SERVICES For an individual institutional policy, as things stand, Green is the only affordable and practical option JISC Report by John Houghton and Alma Swan - Going for Gold? – see http://ie- repository.jisc.ac.uk/610http://ie- repository.jisc.ac.uk/610 17 OA costs / savings

18. UCL LIBRARY SERVICES Debate in the UK  Debate in the UK is polarised between the benefits of Green or Gold  2 solutions not mutually exclusive  Finch talks about a Gold OA future, not set in a timeframe  Also relies on the whole world going Gold OA  Houghton and Swan look at transition issues and the position NOW  World will not go Gold OA overnight  For the short to medium term, Green route is more cost effective 18

19. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

20. UCL LIBRARY SERVICES RCUK Policy  RCUK policy follows a broad Finch line RCUK policy  The Research Councils UK (RCUK) policy supports both ‘Gold’ and ‘Green’ routes to Open Access  Although RCUK has a preference for immediate Open Access with the maximum opportunity for re-use  CC-BY licence required  For embargoes, 6 months for STEM, 12 months for AHSS, only are allowed

21. UCL LIBRARY SERVICES RCUK Policy  Gold APC payments now longer an allowable cost under in Research Council grants  Central funds provided by RCUK to universities to pay for APCs  UCL administers funds by OA Team based in the Library  Target for UCL papers in 1 April 2013-31 March 2014 is 555 papers  Projected figure to be attained: 566 – 102%

22. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

23. UCL LIBRARY SERVICES REF 2020  HEFCE proposing an Open Access requirement for journal articles and conference proceedings  Monographs would be exempt  Start of requirement would be 2016?  Set % compliance by individual REF Board or make exceptions on a case by case basis  Announcement expected Spring 2014

24. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

25. UCL LIBRARY SERVICES DART-Europe E-Theses portal for Open Access  Portal for discovery of European research theses in Open Access  Run by UCL (University College London) for LIBER  At http://www.dart-europe.euhttp://www.dart-europe.eu  Access to 466,603 open access research theses from 551 Universities in 28 European countries55128

26. UCL LIBRARY SERVICES

27. Open Access to research theses  Theses freely available in Open Access are more heavily used than paper equivalents  Example: Dublin City University, 2009  518 consultations of paper theses  16,212 downloads for the equivalent digital theses See: Hill, R. and Moyle, M. (2010) http://discovery.ucl.ac.uk/19955 http://discovery.ucl.ac.uk/19955

28. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

29. UCL LIBRARY SERVICES UCL Discovery: Open Access growth Availability of UCL OA via UCL Discovery Figures comprise local Green FT and records with links to external OA

30. UCL LIBRARY SERVICES UCL Discovery: Green deposit

31. UCL LIBRARY SERVICES UCL Discovery: OA content by publication year

32. UCL LIBRARY SERVICES UCL Discovery downloads Full-text download counts to end December 2013

33. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

34. UCL LIBRARY SERVICES  Main stumbling block to Gold OA is cost of APC (Article Processing Charges)  Finch estimated average APC as £1450 per article  Government now (31/1/14) calls for publishers to reduce subscription rates at institutional level 34 Policy Developments

35. UCL LIBRARY SERVICES Who pays?  Funders  UCL  Decision Tree at http://www.ucl.ac.uk/ library/open-access/ plots path for individual researchers http://www.ucl.ac.uk/ library/open-access/  General OA Guide also available 35

36. UCL LIBRARY SERVICES APC payments  JISC Collections trialling a shared service to UK universities 36  OAK will manage OA funds held in universities  And payments for APCs for Gold OA publishing

37. UCL LIBRARY SERVICES RCUK workflow process 37

38. UCL LIBRARY SERVICES 38

39. UCL LIBRARY SERVICES 39  APC route is complex and granular

40. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

41. UCL LIBRARY SERVICES The view from Arts and Humanities? 41 http://blog.historians.org /2012/09/aha-statement- on-scholarly-journal- publishing/

42. UCL LIBRARY SERVICES Monograph Publishing  Is Open Access a solution to broken Business Model?  University Press takes on role as Open Access monograph publisher  Long form monographs, peer reviewed  Short monographs in AHSS – new publishing format? 42 UCL Special Collections, 15 th century Book of Hours, with 19 th century additions. MS. Lat. 25

43. UCL LIBRARY SERVICES UCL Press  Founded 1 August 2013  UCL imprint repatriated in- house UCL from commercial publisher  Monograph prospectus published  Journals and Textbooks in scope  Open Access Press  European collaborations St Michael, by John Flaxman, UCL

44. UCL LIBRARY SERVICES Shared European infrastructure for monographs?  19 European partners, led by UCL  Shared publishing infrastructure with Open Access business models  Research monographs in the Arts, Humanities and Social Sciences  OAPEN to provide much of the technical infrastructure OAPEN  Launched at UCL in December 2013 44 UCL Special Collections. Pentateuch, 1666. STRONG ROOM MOCATTA Q B 12 TAR

45. UCL LIBRARY SERVICES What could be achieved? 45 OUTPUTS  Shared publishing infrastructure  Shared by 19 partners  Scaleable to all European Universities  Advocacy for new solutions to solve monograph crisis  Marketing frameworks  Business Modelling activities  At least 180 OA monographs in 35 series

46. UCL LIBRARY SERVICES Indicative series in European collaboration 35 series titles proposed in totalSubject area Media History and Film TheoryMedia studies, Film theory Spirituality Studies in TheologyTheology World Oral Literature SeriesLiterary Studies Iranian StudiesMiddle Eastern Studies Law, Governance and Development ResearchLaw, International Studies Interdisciplinary Issues - Art, City, SocietyUrban Studies New Ideas in Human InteractionLinguistics 46

47. UCL LIBRARY SERVICES Master Repository Publication Management Suite Institutional repository Authors Editorial boards APIs OAI-PMH etc DP support Public Catalogue Format transformer Secure delivery Plugin DOAB Finance Order management University Admin Orders plugin? Book Master XML Metadata OA Book PDF BPCs Subs Kindle Hard copy Other e- versions OA Book PDF On demand Orders plugin? Secure payment Requests Fulfilment Paid-for versions Technical Editorial Ordering

48. UCL LIBRARY SERVICES Contents  European Context  LERU Roadmap Towards Open Access  UK context  Finch Report  RCUK Policy  REF 2020  UCL Infrastructures  DART-Europe  UCL Discovery  Gold OA payments  UCL Press  UCL futures

49. UCL LIBRARY SERVICES UCL Futures?  A new dawn  With a new Strategy and approach  OA an opportunity, not a threat  Removing barriers to access  Placing university research and teaching to the fore

50. UCL LIBRARY SERVICES And Now  Breakouts and Discussion

51. UCL LIBRARY SERVICES Breakouts and Discussion  What should an institutional policy on Open Access say?  What are the benefits of Open Access for researchers in Education?