1. Open Access - Implications for research funding, management and assessment ARMA Conference 9 th June 2010 Bill Hubbard Centre for Research Communications University of Nottingham

2. Bill Hubbard Head of the Centre for Research Communications, bill.hubbard@nottingham.ac.uk Dominic Tate Coordinator, Repositories Support Project (RSP), dominic.tate@nottingham.ac.uk University of Nottingham

3. Overview What is Open Access? Why are funders requesting this from researchers? What impact does it have on research support? What responses are called for from institutions? How can we deal with the issues? What benefits will this bring?

4. Open Access What is Open Access? Why is it needed? –difficulties –opportunities Benefits –academic –institutional –funders Two complementary routes –Green –Gold

5. The Open Access Rainbow For open access archiving - RoMEO colours –White - no archiving –Yellow - archive pre-print only –Blue - archive post-print only –Green - archive pre- and post-print Authors and others have clear guidance The alternative of Open Access publishing is termed Gold

6. Sectoral savings from large-scale OA Houghton Report (Jan 2009) Efficiency savings for the sector of over £100m p.a. Benefits of up to £170m p.a. June 15 th - UUK/JISC event July - 5 regional financial workshops

7. Individual institutional impact Development of Houghton model Modelling 3 scenarios –Archiving in repositories (Green Open Access) –In parallel with subscription journals –Instead of subscription journals Open Access journals (Gold Open Access) Consultants applied model to 4 UK HEIs

8. Open Access - issues Initial - clarification and reassurance –not a replacement for journals –does more access=more plagiarism? –cost of repositories –sustainability of OA journals Practical - issues around support for researchers –Support processes for deposit in repository –Financial processes for OA Journal fees –Some publishers have restrictions

9. Some publishers have restrictions Institutions are primary owners of the copyright but waived to academics through custom and practice Publishers often insist on copyright transfer or exclusive licensing as a condition of publication Academics sign contracts that give away copyright; rights to re-use and exploit their research Intellectual and economic properties leave the institution Publishers then control the exploitation of funded research articles

10. Scale of investment Public investment e.g. £300,000 over 24 months 12 Publishers income e.g. charge of £1,800, over 3 month publication process 2 4 6 10 time - months 8 direct money into system - £ thousands direct money out of system

11. Why are research funders involved? Research is funded for social benefit Wider and less-restricted circulation means more readers, more use, better take-up and benefit Wellcome Trust, NIH, Cancer Research UK, etc Virtually all biomedical funded research in the UK now has a mandate All RCUK councils have policies See JULIET - www.sherpa.ac.uk/juliet

12. JULIET JULIET introduced in 2006 Lists and analyses Funder mandates Summarises the mandates and assists support 52 funders listed at present –51 publication policies –21 data archiving policies –19 open access publishing policies

13. Juliet Home Page

14. Juliet Detail 1

15. Juliet Detail 2

16. What do funders require? Open Access to research results as a condition of funding Deposit in a particular repository and/or Deposit in the institutional repository and/or Publication in an Open Access Journal

17. Impact for research support Response necessary as a requirement of grant Competitive advantage for compliance Strategic alignment with global changes Requires different service divisions to work together Incentive for more closely integrated knowledge management

18. How to respond Who is currently aware of these requirements? What current structures and processes are in place? What level of compliance is currently attained?

19. Process and support Compliance process and work-flows Support for researchers Financial processes when required Compliance checking

20. Compliance process and work-flows Publication generally takes place after the close of a research grant - after the final report - what connections are there between research support and researchers some months after the close of a grant? What do these processes look like? Are researchers aware of their responsibilities? How will compliance processes fit into current work flows?

21. Support for researchers Funding policy requirements Different types of OA and options Funding streams for Open Access publishing Copyright and related support for REF-like requirements Information reporting for the institution Where does this service come from?

22. Financial processes when required Publication normally takes place after a grant has closed - so where does the money for OA publication come from? Direct grant Indirect grant Publication fund Changes to grant period

23. Compliance checking As contractual conditions, there is a need for signing off completion Compliance will be completed after the research period, after grant closure, after publication What is the process by which compliance is checked? Who checks?

24. Discussion session Compliance - –identify stakeholders –identify actors –identify structures –identify processes Who needs to do what?

25. External support Research Communication Strategy (RCS) Repository Support Project (RSP) RoMEO JULIET What joint action is required? What individual institutional action is required?

26. Open Access - Benefits for institutions Get a more complete picture of research output from the institution Ensure compliance with funders requirements as competitive advantage for future funding Raise citations and enhance intellectual reputation Enhance REF and other reporting Enhance institutions public image and reputation Enhance knowledge transfer functions Support authors in their work within the institution

27. What do we need to do? Get clarity on financial implications Collaborate on support given to authors –Compliance and support are complimentary Put in place system to provide consistent, authoritative information from all stakeholders at point of need Leverage infrastructure of repositories to benefit authors, researchers, institutions and funders

28. Questions? Bill Hubbard Head of Centre for Research Communications JISC Research Communication Strategist bill.hubbard@nottingham.ac.uk