Open Access and the Development of Digital Strategies for Research

Wolfram Horstmann

Bodleian Libraries

University of Oxford

Question

What can be said about Open Access strategy at a

national funding scale?

OA Strategies

OA IN GERMANY – NATIONAL ACTIVITIES

OA IN THE UK – THE POST FINCH ERA

PERSPECTIVE ON OPEN RESEARCH DATA

SUMMARY AND CONCLUSION

Green OA in Repositories

Institutional mandates make a difference

Gold OA is rising

Jahn, 2012 http://libreas.wordpress.com/2012/07/25/plos/

European Policy

OA IN GERMANY – NATIONAL ACTIVITIES

Berlin Declaration 2003

Initiated by researchers and carried forward by the Max Planck Society

Certified Repositories since 2004

De facto standard maintained be Library and IT Services Organisation

National Funding Programmes

Networked Repositories, DFG 2005-…

• Building of Repositories

• Technology Standards

• From eThesis to research data

• Integration with Current Research Information Systems

GOLD OA Support, DFG 2010-…

Institutional publication funds – but only if… • Peer Review • Max. 2000EUR • Submitting or

corresponding author

• No “hybrid journals”

Open Monographs 2012

National Information Portal 2007-…

National Stakeholders Pull Together 2008

National Licensing

• Negotiations with publishers on national licenses for current subscriptions and back issues contains (green) Open Access elements

Open Access in the law?

• After broad governmental support now bill for ‘green’

• Built on EU guideline 2012/28 for orphan works

• Shall lead towards right to self-archive

Summary: OA in Germany

• Based on ‘grassroots’ developments

• Focused funding programmes by the DFG

• National alliance built over years

• National and legal frameworks in the focus

• Balance slightly towards ‘green’

Approach for a steady and sustainable process in a massively distributed research system where academic freedom is paramount

OA IN THE UK – THE ‘POST FINCH’ ERA

Finch Report

• Produced by a commission chaired by Dame Janet Finch

• Strongly advocates ‘gold’ OA based on article processing charges (APCs)

• Also allows ‘Green’ with embargos

• Controversially discussed as “a flawed and costly route to open access” (Fred Friend)

Post Finch Dramatic Developments

• 12 June 2012: Finch report published • 19 June 2012: Government response [BIS] • July 2012: RCUK revised policy • 07 Sept 2012: BIS £10m “pump priming” announced • 21 Sept 2012: Institutions receive “pump-priming” FY 12/13 • 05 Oct 2012: Institutional deadline for submitting OA plan • 08 Nov 2012: Block grants announced to come 1 April 2013 • Late Nov 2012: Institutions receive block grants • RCUK guideline revisions in response to HEIs, publishers,

RLUK, Russell Group, SCONUL etc • 2013 Continuing discussions

RCUK OA policy revised

• Articles published in peer-reviewed journals or conference proceedings • Allow unrestricted use and re-use of manual and automated text and data mining

tools as defined by CC-BY license • Papers must include details of the funding that supported the research • Papers must include a statement on how the underlying research materials eg as

data, samples or models, can be accessed • [Gold] must be published in journals compliant with Research Council policy on

Open Access ie immediate and unrestricted access; deposit in other repositories without restriction on re-use; CC-BY licence

• [Green] Deposit Accepted Manuscripts that include all changes resulting from peer review (but not necessarily incorporating the publisher’s formatting), without restrictions on non-commercial re-use and within a defined period; Max embargo 6 months from on-line publication: AHRC and ESRC max 12 months embargo

• Applies to all research papers whose work was funded by RCUK being submitted for publication from 1 April 2013

• Researchers strongly encouraged to comply as soon as possible

Example: RCUK policy programme at Oxford

OA at Oxford Programme

Slides provided by Sally Rumsey

University of Oxford external funding 2010/11

http://www.timeshighereducation.co.uk/story.asp?storycode=420392

Prof Ian Walmsley, PVC (Research), University of Oxford interviewed for Times Higher Education, 28 June 2012

Professor Walmsley said the professional society publishers he had worked with considered green open access with a 12-month embargo to be "perfectly acceptable". He was unconvinced that universal gold open access would be a significant advance

Professor Walmsley said that in the worst-case scenario, full gold open access could see the University of Oxford's expenditure on publishing rise by a "staggering" 350 per cent. Costs for top universities would be exacerbated by the particularly high article fees charged by the high-prestige journals in which their researchers typically publish, he added. "The increased costs accruing to UK researchers will likely have to be borne at the expense of research itself, but the cost-benefit ratio of this has not been assessed,"

The University’s view • Focus on green [no mandate] • Academic freedom is paramount • Strategic plan 2013 – 18

http://www.ox.ac.uk/media/global/wwwoxacuk/localsites/gazette/documents/supplements2012-13/University_of_Oxford_Strategic_Plan_2013-2018_%281%29_to_No_5025.pdf

OAO Programme: Four themes

Academic Leadership

and University

Policy

Digital technologies to support

OA

Practical advice,

guidance and support

for researchers

Gold OA funds

OA Oxford programme Multi-agency initiative

1. Policy & communications

• Two key policies – the University of Oxford’s open access policy (‘Statement

on Open Access at the University of Oxford’)

– distribution and management of the forthcoming RCUK block grant, ‘Allocating the RCUK Open Access Block Grant.’

• Aligned with Divisions [eg APC payment; reporting requirements]

• Oxford decision tree

Researcher Decision Tree – ‘Green’ or ‘Gold’? How to meet the UK Research Councils’ requirements on Open Access

GREEN OA PERMITTED BY

PUBLISHER?

GREEN OA - ORA AND/OR SUBJECT REPOSITORY

PUBLISHER OFFERS GOLD OPTION?

PUBLISHER OFFERS CC-BY

LICENCE?

APC FUNDS AVAILABLE?

CHOOSE JOURNAL

IMMEDIATE GOLD OA + PRESERVATION COPY IN ORA

ORA COPY FOR PRESERVATION – ID/OA*

Y

PUBLISHER EMBARGO COMPLIES

WITH FUNDER POLICY?

ACCEPT GREEN EMBARGO WHERE PERMITTED

AND/OR COPY IN ORA FOR

PRESERVATION – ID/OA

Need help? E: open-access-enquiries@bodleian.ox.ac.uk; W: http://open-access.ox.ac.uk Twitter: @oaoxford

* Immediate Deposit/Optional Access

ORA – COPY FOR PRESERVATION – ID/OA*

Y

Y

N

N N

Y

Y

N

N

2. Training, guidance & dissemination enhancement

• Subject librarians:

– training the trainers

– WISER & subject training

– Live chat & email help

– LibGuides

• Cataloguing staff uploading f/t to ORA and enhancing records

3. Digital technologies to support OA

• Integration/synchronisation with Symplectic: 95,000 visible records in ORA

• Controlled vocabularies: entities: person; project; funder; Oxford unit; subject

• Identity management interaction

4. Support for Gold OA

• OA strategy of the Council

• APC policy confirmed

• APCs office establishes in the Bodleian

• Form for applying for APCs [reporting mechanism]

• Credit card with sufficient limit [rapid payment]

End of the example: RCUK policy programme at Oxford

Post Finch Developments

• Discussions and feedback to BIS

• FINCH to reconvene and review

• Publishers promoting ‘cost saving offers’

• APC/block grant fund distribution at Oxford – monitor progress

– % for green support

• Avoiding confusion eg monographs, data, licenses

• Paying for page charges from block grant

• Wellcome Trust new policy for monographs

• HEFCE consultation – REF

Summary: OA in the UK (Post Finch)

• Finch as an impressive example of rapid policy development with institutional uptake – Based on money and funders’ mandates

• Strong bias towards ‘gold’ • Still too early to see all implications Finch as an approach for disruptive and transformational process in a massively distributed research system where academic freedom is paramount

PERSPECTIVE ON OPEN RESEARCH DATA

Open Research Data

• Will radically transform research

• Disciplines have common understanding of what a “publication” is but not what “data” is

• More issues about privacy, security and IPR

• Will take time – considering that OA to publications takes decades

• OA to publications and OA to data best addressed successively

SUMMARY AND CONCLUSION

Observations: Three main Drivers

• Incentives

– Visibility, citation, reporting > needs patience

• Rights

– E.g. national right on re-use > simplifies ‘green’

• Mandates

– Funders > Effective in gold when paid

– Institutional > Effective, when achievable

Recommendation

1. Institutional mandates for ‘green’ - Considering that it works in Portugal

2. Controlled programme for ‘gold’ - Setting limits for prices and models

3. Additional activities to support incentives - Monographs, high-end reporting systems

4. Simplify ‘green’ in national legislation

5. Tackle research data once publications on track