Open access (generic department)

Open AccessRCUK Open Access

Policy & post-2014 REF requirements

James Bisset james.bisset@durham.ac.ukAcademic Liaison Librarian (Research Support)

What?

“on average across the NHS, [only] about a third of relevant journals were available free at the point of use”

http://bit.ly/MnfGEY Finch Report (June 2012), from data originally

reported in Heading for the Open Road: costs and benefits of transitions in scholarly communications,

RIN, PRC, Wellcome Trust, RLUK and JISC, 2011.

“many researchers … in smaller and less research-intensive institutions … do not have access to a sufficiently- wide range of titles”

http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported in Access to scholarly content: gaps and barriers, RIN,

Publishing Research Consortium and JISC, 2011.

“across central Government and its agencies, some 17% of relevant articles are available free at the point of use.”

http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported

in Heading for the Open Road: costs and benefits of transitions in scholarly communications, RIN, PRC,

Wellcome Trust, RLUK and JISC, 2011.

“lack of access … may mean that advice and inputs to policy-making are delayed or incomplete."

http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported

in Rightscom. Benefits of Open Access to Scholarly Research Outputs to the Public Sector, Report for the

Open Access Implementation Group, , 2012

“the voluntary sector … [often has to] rely on reports from research organisations and Government departments"

http://bit.ly/MnfGEY Finch Report (June 2012), from data originally reported

in Office for Public Management, Benefits of open access to scholarly research for VCS organisations, JISC

2012.

An article that is Open Access can be freely accessed by anyone in the world using an internet connection.

no subscription...

...no login or password

Some Open Access articles may also allow full or limited re-use of the content in the publication...

“... free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.“

http://www.budapestopenaccessinitiative.org/read Budapest Open Access Initiative.

Terminology

Gold / Green

Gold / GreenGold is not a measure of quality.

.

Gold / GreenGold is not a measure of quality.

Gold often (but not always) incurs a cost for the author.

Gold is available from the journal

website

Green is available from an Open

Access repositor

y

A subscription journal such as Nature Communications offers AUTHORS:

- [GREEN] the option to publish normally & self-archive their final peer-reviewed manuscript for free

- [GOLD] the option to pay-to-publish for a cost of $4800-$5200

A subscription journal such as Nature Communications offers AUTHORS:

- [GREEN] the option to publish normally & self-archive their final peer-reviewed manuscript for free

- [GOLD] the option to pay-to-publish for a cost of $4800-$5200Both options meet RCUK

requirements.

Both options meet proposed

post-2014 REF requirements

Check the requirements of your funder

RCUK Policy

Open Access Policy

Open Access Policy• applies to any peer-reviewed

journal articles or conference proceedings which:

Open Access Policy• applies to any peer-reviewed

journal articles or conference proceedings which:

- were submitted for publication on or after 1st April 2013

- Acknowledge funding from one of the seven UK Research Councils

Authors must…• include a statement providing

details of funding supporting the research;

Authors must…• include a statement providing

details of funding supporting the research;

• include a statement, if appropriate, on how underpinning research data can be accessed.

Authors must…• include a statement providing

details of funding supporting the research;

• include a statement, if appropriate, on how underpinning research data can be accessed.

• publish in journals which are compliant with Research Council policy on Open Access;

Is the journal compliant?In order to be deemed compliant with RCUK Policy, a journal must either:

“ [GOLD] provide, 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. This may involve payment of an ‘Article Processing Charge’ (APC) to the publisher.“

Is the journal compliant?In order to be deemed compliant with RCUK Policy, a journal must either:"provide, 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. This may involve payment of an ‘Article Processing Charge’ (APC) to the publisher.“

or...

[GREEN] permit the author to deposit their "final Accepted Manuscript in any repository, without restriction on non-commercial re-use and within a defined period. No APC will be payable to the publisher."

Clarifications:

GreenGold“Within a defined period”

“using the Creative Commons Attribution (CC BY) licence”

Clarifications:

GreenGoldEmbargo periodsNo Gold OA optionAHRC & ESRC: 12 monthsOther RCs: 6 months

Gold OA optionAHRC & ESRC: 24 monthsMRC: 6 monthsOther RCs: 12 months

Clarifications:

GreenGoldEmbargo periodsNo Gold OA optionAHRC & ESRC: 12 monthsOther RCs: 6 months

Gold OA optionAHRC & ESRC: 24 monthsMRC: 6 monthsOther RCs: 12 months

Summary:• include a statement of funding• include a statement of research

data• publish in journals which are

compliant

what to do

Support at Durham• Checking compliance of journals

(library)

• Managing and maintaining Durham Research Online (your institutional repository)

• RCUK Block Grant (£276,578 for 2013/14)

• Reporting back to RCUK/HEFCE

Writing article for journal

Article submitted

Article accepte

d

What open access options

does the journal offer

If required, will funding be available

Any APC charged is paid

Writing article for journal

Article submitted

Article accepte

d

What open access options

does the journal offer

If required, will funding be available

Any APC charged is paid

Suggested

timeline –

when to ask

for funding is

up to author

Step 1

Author needs to

know options

for preferred journal

You choose

Step 2

Author request

funding is committe

d to being

available

The only new fields for authors to complete are:• Confirm you require

funding• Provide the reference

number provided with confirmation

APC Funding Requested

APC Library Reference

Durham Research Online

(DRO)

Durham Research Online

http://dro.dur.ac.uk/depositors/dro_depositguide.pdf

Durham Research Online• 10,273 records in DRO

- 3,837 full text (37%) - 87 further records embargoed (1%)

• Durham Open Access Policy http://dro.dur.ac.uk/du_oa_policy_summary.pdf

• Add bibliographic details; Tick the box; Attach your final accepted manuscript.

Durham Research OnlineDepartment(Faculty of Science)

Records in DRO

Full text deposited

% full text

Publisher does not permit full text to be made available

% no OA permitted by publisher

% that could be achievable to make OA via DRO if authors deposited full text

Biological/Biomedical

347 111 31.99 47 13.54 86.46

Chemistry 398 125 31.41 123 30.90 69.10Computer Sciences 154 80 51.95 8 5.19 94.81Earth Sciences 319 73 22.88 36 11.29 88.71Engineering 595 246 41.34 59 9.92 90.08Mathematics 483 242 50.10 45 9.32 90.68Physics 839 534 63.65 96 11.44 88.56Psychology 409 134 32.76 44 10.76 89.24

Durham Research OnlineDepartment(Faculty of Arts and Humanities)

Records in DRO

Full text deposited

% full text

Publisher does not permit full text to be made available

% no OA permitted by publisher

% that could be achievable to make OA via DRO if authors deposited full text

Classics and Ancient History 99 33 33.33 16 16.16 83.84English Studies 207 54 26.09 57 27.54 72.46History 223 85 38.12 47 21.08 78.92Modern Languages and Cultures 248 61 24.60 32 12.90 87.10Music 96 34 35.42 19 19.79 80.21Philosophy 188 70 37.23 33 17.55 82.45Theology and Religion 265 75 28.30 65 24.53 75.47Classics and Ancient History 99 33 33.33 16 16.16 83.84English Studies 207 54 26.09 57 27.54 72.46

Durham Research OnlineDepartment(Faculty of Social Sciences and Health)

Records in DRO

Full text deposited

% full text

Publisher does not permit full text to be made available

% no OA permitted by publisher

% that could be achievable to make OA via DRO if authors deposited full text

Anthropology 459 169 36.82 68 14.81 85.19Applied Social Sciences 367 130 35.42 52 14.17 85.83Archaeology 671 271 40.39 129 19.23 80.77Economics, Finance & Business

843 227 26.93 122 14.47 85.53

Education 361 120 33.24 34 9.42 90.58Geography 1083 458 42.29 170 15.70 84.30Government & International Affairs

456 209 45.83 52 11.40 88.60

Law 645 204 31.63 173 26.82 73.18Medicine & Health 1003 315 31.41 164 16.35 83.65

Wellcome Trust

Initially only applied to peer-reviewed journal articles.

Initially only applied to peer-reviewed journal articles.

Has now been extended to monographs and book chapters.

“holders of grants awarded after 1st October 2013, and for existing grant-holders from October 2014”

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks,

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks, 'trade' books,

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks, 'trade' books, general reference works

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks, 'trade' books, general reference works or works of fiction,

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks, 'trade' books, general reference works or works of fiction, or to collections edited but not authored by Trust grantholders …

“holders of grants awarded after 1 October 2013, and for existing grant-holders from October 2014”

“does not apply to textbooks, 'trade' books, general reference works or works of fiction, or to collections edited but not authored by Trust grantholders … or non-fiction work[s] … aimed at a general audience and published by a commercial publisher.”

“… to be made available through PubMed Central (PMC) and Europe PubMed Central (Europe PMC) as soon as possible and in any event within six months of the publisher's official date of final publication.”

“… encourages - and where it pays an open access fee, requires - authors and publishers to licence research papers using the Creative Commons Attribution licence (CC-BY).”

No central institutional funding

Wellcome Trust will cover APC if the CC-by licence option is available and chosen by author.

Will also cover additional publication costs through their inflation/flexible funding allowance

Not limited to RCUK and Wellcome

Trust…- Action on Hearing Loss- Arthritis Research UK- Breakthrough Breast Cancer- British Heart Foundation- Cancer Research UK- Department of Health- Dunhill Medical Trust- European Commission- European Research Council- JISC- Marie Curie Cancer Care- Motor Neuron Disease Association- Parkinsons UK

Horizon 2020

“must ensure open access to all peer-reviewed scientific publications relating to its results”

“must ensure open access to all peer-reviewed scientific publications relating to its results” - required for journal articles

“must ensure open access to all peer-reviewed scientific publications relating to its results” - required for journal articles - strongly recommended for other publication formats

“must ensure open access to all peer-reviewed scientific publications relating to its results” - must deposit the published version or final peer-reviewed manuscript in a repository (such as DRO), “at the latest upon publication”.

“must ensure open access to all peer-reviewed scientific publications relating to its results” - must ensure the full text is accessible from the repository within a maximum of 6 months (12 months for social sciences & humanities)

“the beneficiary must [also] aim to … at the same time [make accessible] the research data needed to validate the results presented in the deposited scientific publications.” - preferably by depositing in a data repository.

“the beneficiary must [also] aim to … at the same time [make accessible] the research data needed to validate the results presented in the deposited scientific publications.” - preferably by depositing in a data repository.

Post-2014 REF

Post-2014 REF

Post-2014 REF

Announced they would be consulting

Post-2014 REF

Announced they would be consulting

Consulted about consulting

Post-2014 REF

Announced they would be consulting

Consulted about consulting

Have ran a consultation (Durham response available at http://bit.ly/18yuxXO)

Open Access and the REF

Open Access and the REF

Open Access and the REF

Post-2014 REF

Post-2014 REFLimited to peer-reviewed journal articles and conference papers.

Post-2014 REFLimited to peer-reviewed journal articles and conference papers.

Notice period from the date of the policy announcement.

Post-2014 REFLimited to peer-reviewed journal articles and conference papers.

Notice period from the date of the policy announcement.

Likely to have built in exclusions.

Post-2014 REFLimited to peer-reviewed journal articles and conference papers.

Notice period from the date of the policy announcement.

Likely to have built in exclusions.

Must be accessible from the author’s Institutional Repository

Summary

… the bottom line…

… the bottom line…REF requires deposit in an Institutional Repository

… the bottom line…REF requires deposit in an Institutional RepositoryRCUK requirements can (usually)* be met by depositing in an Institutional Repository

… the bottom line…REF requires deposit in an Institutional RepositoryRCUK requirements can (usually) be met by depositing in an Institutional RepositoryHorizon 2020 requirements can (usually)* be met by depositing in an Institutional Repository

… the bottom line…REF requires deposit in an Institutional RepositoryRCUK requirements can (usually) be met by depositing in an Institutional RepositoryHorizon 2020 requirements can (usually)* be met by depositing in an Institutional Repository

Durham Research OnlineDepartment Records

in DROFull text deposited

% full text

Publisher does not permit full text to be made available

% no OA permitted by publisher

% that could be achievable to make OA via DRO if authors deposited full text

Biological/Biomedical

347 111 31.99 47 13.54 86.46

Chemistry 398 125 31.41 123 30.90 69.10Computer Sciences 154 80 51.95 8 5.19 94.81Earth Sciences 319 73 22.88 36 11.29 88.71Engineering 595 246 41.34 59 9.92 90.08Mathematics 483 242 50.10 45 9.32 90.68Physics 839 534 63.65 96 11.44 88.56Psychology 409 134 32.76 44 10.76 89.24

Image Credits

[14-17, 40] Via Flickr Creative Commons, and by 100kr. Original available here

[14-17, 40] Via Flickr Creative Commons, and by tao_zhyn. Original available here

[20] Via Flickr Creative Commons, and by Chris Devers. Original available here

[32,60] Screenshot of video by JohnWiley&Sons: Original © Youtube available at http://youtu.be/yV91BwY7pr0 under standard YouTube licence.

[8] Via Flickr Creative Commons, and by jekert gwapo: Available at http://www.flickr.com/photos/jekert/4412533661/

[10] Via Flickr Creative Commons, by Nick Wheeler. Available at http://www.flickr.com/photos/7762644@N04/2295584401

[9] Via Flickr Creative Commons, and by Darwin Bell: Available at http://www.flickr.com/photos/darwinbell/1454251440/

Image Credits

[94] Created using http://photofunia.com/

[38 & 41] Via Flickr Creative Commons, and by geishaboy500. Original available here

Q & A