1. Getting the Rights Right - or, When Policies Collide! Bill Hubbard Director, Centre for Research Communications University of Nottingham UKSG Webinar 19 th May 2015

2. Overview Open Access The policy environment Getting a clear perspective on policies Dealing with policy detail and clashes A strategic institutional response Strategy and tactics for getting action

3. Open Access Budapest Declaration –“... the peer-reviewed journal literature and completely free and unrestricted access to it by all...” Implications... –CC-BY to CC-BY-NC-ND –What re-use? Commercial? Cure for cancer? –Text-mining - data-mining? –Data?

4. What policies exist? Publisher policies Institutional policies Funder policies REF policies –REF is principle mechanism for determining research funding Government policy –Finch Committee

5. Why have policies? - Open Access Without policies in favour, Open Access adoption hovered at ~15% Overwhelming majority of researchers in favour of OA concept Uptake throttled by set working habits, esteem indicators, reward mechanisms Cultural change requires strong incentives –Money, esteem

6. Why have policies? For control To support paths for development Understanding background and motivation can be key for an effective response For the explicit motivations, ask the policy bodies themselves: the following is my own interpretation...

7. Why have policies? - Publishers Driven by perception of commercial need Faced with uncertainty, human reaction is to freeze the status quo Controls environment while a sustainable path is worked out –depending on view, controls might read restricts; sustainable might read profitable “Permissions” or “Restrictions”

8. Why have policies? - Government Strategic steer, given trends in access to information, transparency Improved value and returns for public investment Greater exposure of UK research leading to investment Improved research environment

9. Why have policies? - REF Following lead from Government in shaping future of research communications Reducing administrative overhead in REF –although it might not seem like it right now! Improves records and clarity in national research picture Alignment with RCUK and others

10. Why have policies? - Funders Improved return on public investment More transparent use of public money Improved research environment where more research is shared more widely and more quickly Professional and ethical drivers

11. Why have policies? - Institutions Positions institution in line with information trends on openness and re-use Greater exposure for institutional research Greater engagement with research users and investors Improved admin, record keeping and picture of institutional research Aligns with REF and Funder policies

12. What drives compliance? Professional ethics Social morality Fear of consequences –personal –institutional Can you prioritise by examining compliance drivers for each policy - what are the consequences?

13. Dealing with policies What should be tackled first? Achieving recognition of the need for compliance in-house Efficient support structures and processes Who deals with compliance?

14. Authors cannot be left to sort it out for you

15. Researcher’s view from the past... Researcher Other Funder Institution Publisher Funding RCUK

16. Researcher’s view... Researcher Other Funder Institution Publisher Institutional Repository Funding RCUK

17. Researcher’s view... Researcher Other Funder Institution Publisher Institutional Repository Funding Mandate RCUK

18. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Funding Mandate RCUK

19. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Funding Mandate RCUK

20. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Funding Mandate RCUK

21. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding

22. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding

23. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate

24. Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

25. Institutional OA Fund Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

26. REF Institutional OA Fund Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

27. REF Institutional OA Fund Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

28. REF Institutional OA Fund Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

29. REF Institutional OA Fund Researcher’s view... Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

30. Researcher’s view from the past... Researcher Other Funder Institution Publisher Funding RCUK

31. REF Researcher’s view... Institutional OA Fund Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

32. REF and soon, with added research data?! Institutional OA Fund Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database Institutional OA Fund Researcher Other Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Mandate RCUK Funding Mandate Institutional Database

33. Authors cannot be left to sort it out for you

34. Is there a key? Publishers need author compliance to publish Publishers need institutional compliance or could take legal action Institutions need compliance or, ummm... RCUK wants ~ 60% compliance, rising REF needs 100% compliance in 10 1 / 2 months

35. Priorities and Precedence We tend to see the publisher policy as being the source for rights in an article - the thing that defines what else can be complied with –exemptions (REF) –levels of compliance (RCUK) –“where possible” get-outs (institutions) Why? This is back to front!

36. Research cycle

37. Is there a key? #2 Publisher policies should respond to the research agenda and not act in opposition! First decide what the institution needs to comply with, within the research cycle Respond to the public investment you have been entrusted with Then see if publisher policies comply with your requirements

38. Is there a key? #3 Deal with REF Deal with RCUK and others –Ok for REF, ok for most funders (some specific deposit venues and embargoes) –lower levels of compliance required in 2016 Deal with institutional policies

39. Is there a key? #4 Does not take away publisher restrictions, but puts them in context Now time to address publication choice –previous advocacy avoided this HEFCE wants to see an institutional process to inform academics of publication choices with exemptions by exception –not business as usual + exemptions

40. Open Access and the REF To be eligible - Deposited at the point of acceptance Metadata immediately available Full-text available after 12 or 24 months Institutional process to handle exemptions Applies from April 2016 In-house systems, processes, workflows: ready in 10 1 / 2 months!

41. Institutional strategy Prepare for an OA future Comply with REF, RCUK and other funders Address academic issues of choice of publication by opening debate Examine place of journal brands in rewards Ensure institutional policies in place and reflect policies of REF and Funders Ensure support structures in place

42. Internal strategy for change Use the REF to gain traction for change Engage senior levels of management in seeing the need for compliance Engage senior academics in asking for support with REF process Use the REF coordinators to push for coordination, who know what it is like

43. Summary Build institutional response around prioritised policy compliance Open Access is the rule, with exceptions All institutional stakeholders on top of OA –as an idea; as a process; as a work-flow; as requirements; as developing policies Researchers need to know what to do - –clear, concise, contextualised

44. There are issues - BUT ! Open Access is a real benefit for researchers, the research process, institutions, funders, tax-payers, the public and for our culture and our future Support and belief from all of the stakeholders in the research process All of the issues can be resolved

45. Bill Hubbard Director, Centre for Research Communications University of Nottingham bill.hubbard@nottingham.ac.uk sherpa.ac.uk/romeo sherpa.ac.uk/juliet sherpa.ac.uk/fact sherpa.ac.uk/opendoar