www.le.ac.uk Iris.le.ac.uk www.le.ac.uk/lra

The Open World of ResearchComplying with Funder Requirements

9th May 2012

Steve LoddingtonResearch Dev. OfficerResearch OfficeUniversity of Leicester

Gaz J JohnsonDS&R Manager,LibraryUniversity of Leicester

Who are we?

• Steve Loddington (Research Development Officer, RSO)

• Gareth Johnson (Document Supply and Leicester Research Archive [LRA] Manager, Library)

– Chair UK Council for Research Repositories

Session Overview

1. Background to OA, the LRA and the internal open access policy

2. Group exercise/discussion – OA benefits

3. Funder OA requirements and external issues

4. Latest developments/news

5. Summary

Session Objectives• Aware of the benefits of making research available via

open access

• Aware of major routes to OA and the related policies that apply to research outputs

• Understand the tools available to clarify funder requirements and retained author rights

• Understand a range of funder’s requirements and post project monitoring

• Aware of the plans for open research data

The World of Research is Changing

• The Coalition is committed to the principle of public access to publicly-funded research results…[Research publication] has to be paid for. But the way we pay for it is changing.

• Old publishing model is no longer viable for publishers, academics or institutions…Taxpayers put their money towards intellectual enquiry, they cannot be barred from then accessing it.

• Frustration of academics, students and public to publisher paywalls

• The more data and freely available comment, the more important it becomes to sort and shape that information.

From David Willett’s speech to Publishers Association (2/5/12)

Some OA Statistics

• Open access to articles on increased readership by 250% compared to restricted ones (research by Philip Davis)

• UK second only to US in volume of published research– 120,000 articles published by UK researchers (1.7M articles

globally)– 4% of world’s researchers produce 14% of most highly cited

papers• Public sector saving £28M through open access (OAIG Report,

May 2012)– Freely available information from HGP led to greater take up of

knowledge and commercialisation than earlier protected data

Routes to Open Access

• Open access archiving [The Green Route]– Works alongside traditional publishing

– Authors give away their rights to publishers

– Post-publication archiving activity

– Papers, theses, reports etc deposited in repositories

• Open access publishing [The Gold Route]– Publish in a OA journal or title with open choice option

– Pay-up front model of funding

– Authors retain their rights to their work

Complying with Requirements at Leicester

• Senate agrees OA availability enhances research impact and helps ensure funder compliance

• Leicester’s Publication Policy requires deposit covering all publications from 2006 onwards

• IRIS retrieves a high proportion of your publication records and provides easy output for REF submissions

• Deposit author’s final draft of publications to LRA via IRIS and the Administration team will handle all rights verifications

Leicester Research Archive

• The University's open access repository• Contains research publications from Leicester authors• Post publication archiving (Green OA)

• Full-text and metadata only records• 49.9% of items currently in full-text• Copyright on all items checked by LRA Team

• Not just articles!• Books, reports, conferences, working papers and theses

• Open access to research on the LRA benefits• University, Departments and Authors

http://lra.le.ac.uk

Leicester Research Archive

• Making publications OA increases the readership and offers impact beyond the echo chamber

• Enhances collaboration and recognition world-wide

• OA is a global phenomenon, and our competitors are doing it - 153 UK HEIs have an OA repository

• Submit – Deposit – Share is the emerging publishing paradigm

• Not sharing via OA will diminish your research’s visibility, impact and your career

Open Access Goals

• Open access is not an end in itself, it is a means to an end.– Opportunity to break down barriers between academic

professionals and the wider community– Gold vs Green open access hybrid or competitors?

• Embargo periods for OA vary by publisher– Longer-tail half-life of research in Arts for example– Academic spring and Cost of Knowledge petition

• Funders requirements also vary– E.g. Wellcome Trust requires all the research it funds

to be made freely available online.– RCUK revised OA draft policy came out in March 2012

2. Group exercise / discussion

What are the benefits of Open Access?

(Turn to the person next to you and discuss for 10 mins)

a) To the researcher/academic

b) To the institution

c) To funders

d) To the wider community

What are the benefits of Open Access

a) To the researcher/academic

• Increases the visibility of research – good for one’s career

• Encourages collaborations (with academics and industry)

• Stimulate interest and further research in specific discipline/area

• Higher number of citations and more potential for impact

What are the benefits of Open Access

b) To the institution

• To showcase the institutions research papers to the outside world

• May encourage staff and prospective students from around the world to apply

• Increase of traffic to University site / webpages –good PR

• Important part of wider research management strategy – management/preservation of assets

What are the benefits of Open Access

c) To the funder

• Ensures the outputs of publicly funded research is made available to the public.

• Maximises the impact of the money spent on research

d) To the wider community

• More research papers freely available at anytime, anywhere.

• Public gain access to tax funded research

LRA: Deposited Version

• Leicester’s Publication Policy requires deposit covering all publications from 2006 onwards

Draft(pre-review)

Commented draft(post-review)

Revised draft Publisher correctedagreed final version

Publishedversion

Tools of the Trade

• Understand your rights and requirements

– SHERPA/RoMEO and JULIET

• Reclaim your rights

– SPARC Addendum or JISC/SURF License to Publish

• Find open access research

– OpenDOAR, BASE, and CORE

(This is where it get’s really exciting!)

- Research Councils

- Charities (inc. Wellcome Trust)

- Other funders (e.g. European Union)

3. Implications imposed by funders

Research Councils 1• All seven Research Councils now have an Open Access

Policy in place. (AHRC, BBSRC, ESRC, EPSRC, MRC, NERC and STFC)

• Each one is slightly different so check the policy of your funder(s).

• Most policies require grant holders to make articles open in a repository (e.g. LRA) as soon as possible after publication and in any event within six months of publication.

Research Councils 2• All Research Councils now carry out post-project

monitoring - details of publications and activities up to 5 years after end of award.

• MRC & STFC system = e-Val. Other Councils: Research Outcomes System (ROS).

• Non-compliance of either policy may result in being ineligible to apply for further funding

• More accountable to show the impact of ones research on the wider community – making your research open can help!

Major Charities 1 – Wellcome Trust• We hold a WT OA pot at UoL (managed by me!)

• WT Will pay for immediate open access. OA charges should not be made against grants but against the OA fund held by RSO.

• Fill in a request form and send to RSO to authorise

• When the invoice arrives, send that to RSO

• We arrange payment directly

• Journal deposits in UKPMC for you (usually)

• RSO claim sum spent from WT annually

Major Charities 2 - Others• BHF: will reimburse valid fees, or a proportion equal to

the number of institutions acknowledged, where multiple funders are involved, on papers acknowledging BHF with the grant number. The University should pay the open access charge in the first instance and then submit a claim to BHF with copies of the invoice and the published paper.

• CRUK: does not allow payment of OA charges directly through grant. Currently up to you/department to cover cost.

Other funders – European Union• Grant recipients in seven areas (energy, environment, health,

parts of information and communication technologies, research infrastructures, science in society, and social sciences and humanities) are required to:

– deposit peer reviewed research articles or final manuscripts resulting from FP7 projects into an online repository;

– use best efforts to ensure open access to these articles within either 6 (health, energy, environment, parts of information and communication technologies, research infrastructures) or 12 months (social sciences and humanities, science in society) after publication.

What is an OA charge for?

Some Publishers charge authors an Open Access fee to;

a) make an article immediately open on publication (optional – ‘Hybrid Journals’ and the most common).

b) publish their article in the journal (mandatory). More likely to be no subscription for the reader.

How much does it cost? The typical charge is GBP£2,000 or USD$3,000 per article.

How can I comply with funder requirements?

• Deposit the full-text in the LRA (via IRIS)

• Deposit in a subject based repository (e.g. PubMed)

• Consider publishing in Open Access Journals / journals that comply with your funders OA policy (www.doaj.org)

• Add in £’s into grant applications for open access fees

4. Open Research Data

• Computing capacity doubling every 18-13 months– Data mining of open data is becoming an important part of

scientific advance

– Research funders developing requirements and policies

– Not limited to the STEM subjects

• EPSRC requires– Road map for institution (by 1/5/2012)

– Operational data management in place (by 1/5/2015)

– Working group sponsored by Research Computing Committee being set up

– Anticipated other funders will follow suit

EPSRC’s Open Data Expectations

1. Research organisations will promote internal awareness of these principles and expectations.

2. Published research papers should include a short statement describing how and on what terms any supporting research data may be accessed.

3. Each research organisation will have specific policies and associated processes to maintain effective internal awareness of their publicly-funded research data holdings and of requests by third parties to access such data;

4. Publicly-funded research data that is not generated in digital format will be stored in a manner to facilitate it being shared in the event of a valid request for access to the data being received

5. Research organisations will ensure that appropriately structured metadata describing the research data they hold is published and made freely accessible

EPSRC’s Open Data Expectations

6. Where access to the data is restricted the published metadata should also give the reason and summarise the conditions which must be satisfied for access to be granted.

7. Organisations will ensure that EPSRC-funded research data is securely preserved for a minimum of 10-years

8. Research organisations will ensure that effective data curation is provided throughout the full data lifecycle, with ‘data curation’ and ‘data lifecycle’ being as defined by the Digital Curation Centre

9. Research organisations will ensure adequate resources are provided to support the curation of publicly-funded research data.

Open Access Advantages - recap• Making research publications OA increases the

readership and offers impact beyond the echo chamber of academia

• Enhances collaboration and recognition potential globally

• OA is a global phenomenon, and our competitors are doing it (153 UK HEIs have an OA repository (May 2012)

• Not sharing via OA will diminish your research’s visibility, impact and your career

Institutional Support and Help

• RSO/Library support and training is available

• For support with IRIS contact irissupport@le.ac.uk

• For support depositing to LRA, and more on Open Access lra@le.ac.uk

• 1-2-1 training available, contact to book

• LRA News pages and Library blog

Steve: 2751, spl13@le.ac.uk Gaz: 2039, gjj6@le.ac.uk