UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
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This document summarizes presentations from Catherine Sharp of UCL, Helen Dobson of the University of Manchester, and Rob Johnson of Research Consulting on implementing open access policies and the role of intermediaries. UCL and Manchester discussed their open access funds which pay article processing charges, compliance with funder policies, and communication strategies. Rob Johnson examined how intermediaries could help with transaction management, data collection, and improving processes for open access payments and reporting.
UKSG 2014 Breakout Session - Open access comes of age: implementing open access policies at UCL, Manchester and beyond
- 1. Open Access comes of age: implementing Open Access policies at UCL, University of Manchester and beyond Catherine Sharp, UCL Helen Dobson, University of Manchester Rob Johnson, Research Consulting UKSG Conference 14th & 15th April 2014
- 2. Open access at UCL Catherine Sharp Open Access Funding Manager catherine.sharp@ucl.ac.uk
- 3. Research at UCL • c4,800 staff & postdocs • c4,500 research students • at least 9,000 research publications p.a. Open access at UCL • Open access “underpins UCL‟s research mission” • c20,000 full-text in UCL Discovery • 4 million downloads • UCL open access fund – choice of Gold/Green is “academic decision” • UCL Press
- 4. 345 papers in 2012-13 target 693 achieved 753 (March 2013) (109%) projected 798 (115%) 20 27 25 26 39 50 55 52 51 85 68 158 6 0 2 1 0 0 1 1 15 33 38 0 20 40 60 80 100 120 140 160 180 RCUK Green RCUK Gold Prepayment figures for Feb/March incomplete, pending publisher returns. „Committed‟ figure includes known pre- paid APCs; to be confirmed in publisher returns
- 5. Article Processing Charges 656 434 487 1577 1577 APCs processed since April 2013 March figures incomplete, pending pre-payment returns from publishers 30 59 56 71 101 124 181 150 149 194 183 0 50 100 150 200 250 Apr-13 May-13 Jun-13 Jul-13 Aug-13 Sep-13 Oct-13 Nov-13 Dec-13 Jan-14 Feb-14 RCUK Wellcome UCL Gold All APC
- 6. Payments: publisher membership schemes
- 7. Staffing structure Open Access Funding Assistant Open Access Funding Assistant – fixed term Open Access Compliance Officer – fixed term Author advice Payments Prepayment checks Advocacy Publisher negotiation Budgets & management reporting Funder & UCL compliance Advocacy Open Access Funding Manager
- 8. What data do we record?
- 12. • Different publisher & funder policies • Authors need a very responsive, personal service, with minimal form-filling • Licences need explaining BUT • Bureaucratic publisher systems, with confusing options • Invoice payments cumbersome • We need information directly from author: funder references, grant holders SO • We reduce admin for authors and influence publishers to build better systems • Keep abreast of publishers‟ policies and funders‟ requirements • Manage budgets effectively Complications and challenges
- 14. Open Access at Manchester Helen Dobson Research Services Librarian University of Manchester Library
- 15. Member of Russell Group Founded in 1824 Largest single-site UK university 4 faculties 26 schools & institutes 20 cross- discipline centres 4000+ research staff 3500+ PGRs 4500 research papers01 3/
- 16. RCUK Policy on Open Access and Supporting Guidance
- 17. The University Library Open Access Pump-Priming Project • Goal 1 Introduce a change of culture to prepare researchers for the launch of Open Access policies from RCUK and other funders • Goal 2 Establish structures and processes to support the new RCUK and Wellcome Trust policies from April 2013 • Goal 3 Implement technical developments required to underpin the processing and reporting of Open Access activity within the University • Goal 4 Pilot payment of Article Processing Charges (APCs) to support publishing of research articles in Gold OA journals
- 21. Faculty Research Committee School Research Committee School Board Meeting Research Support Staff Conference
- 23. a.professor
- 28. Value for Money RCUK block grant: £824,459
- 31. Recommendations • Support service on campus • Engage in community-wide problem solving • Share data & experience RCUK OA Policy compliance achieved
- 32. Title for text slide 24 point with 1 line spacing after Sub-title 18pt with 1 line spacing after Main copy size 14 point Line spacing 1.2 for all text •Bullet 1 use standard bullet - Bullet 2 use for secondary bullet Thank you uml.openaccess@manchester.ac.uk
- 33. OPEN ACCESS INTERMEDIARIES Rob Johnson Director, Research Consulting
- 34. THE ROLE OF INTERMEDIARIES IN OPEN ACCESS Systems and processes associated with the payment of APCs are sub- optimal… …No clear consensus on the role of intermediaries might most effectively play and how. 18 months ago… But
- 36. OPEN ACCESS AT THE UNIVERSITY OF NOTTINGHAM 2001 – Repository established 2007 – University publication fund established 2009 – Institutional Open Access Policy adopted
- 37. USING AN INTERMEDIARY Jan 2013 – Adopted Open Access Key as APC intermediary May 2013 – OAK service migrated to JISC APC April 2014 – End of JISC APC Pilot
- 39. (c) iStock, image used under licence
- 40. Publishers Universities (c) iStock, image used under licence
- 41. (c) iStock, image used under licence
- 42. v Deposit account Develop internal systems Developinternal systems Membership/ discount SizeofPublisher Size of institution (article volumes) Single invoice Fixed price agreement WHERE DO INTERMEDIARIES FIT IN?
- 43. COLLECTION OF METADATA – INSTITUTIONAL PERSPECTIVE Capture data in standardised form Intermediary Pub Pub Pub Pub Pub Pub Pub Pub Pub ReportingReporting Management reporting Accounting transactions Reporting to funders Authors Reporting Collect any missing data eg funders, licenses (If not obtained via pre- approval process)
- 44. HOW CAN INTERMEDIARIES HELP? 1.Transaction management – including publisher prepayments 2.Improved author experience (but perhaps not yet?) 3.Data, data, data • Streamlining processes for managing compliance • Promoting adoption of standard metadata forms and unique identifiers
- 46. QUESTIONS? Catherine Sharp, UCL Helen Dobson, University of Manchester Rob Johnson, Research Consulting UKSG Conference 14th & 15th April 2014
Editor's Notes
- #37: Chart experience of University of NottinghamStrong advocate of OAPolicy committed the University to meet the costs of OA publication
- #38: Chart experience of University of NottinghamWhy the change of direction?COSTSubscriptions budget of c£4mGone from spending £250k/year on APCs, to forecasting £1m+ on top of subscriptionsNot that UoN couldn’t fund it, but opportunity cost too great – vs. studentships, equipment, researchRebalancing of costs away from teaching-focussed to research intensive institutions
- #39: Chart experience of University of NottinghamWhy the change of direction?COSTSubscriptions budget of c£4mGone from spending £250k/year on APCs, to forecasting £1m+ on top of subscriptionsNot that UoN couldn’t fund it, but opportunity cost too great – vs. studentships, equipment, researchRebalancing of costs away from teaching-focussed to research intensive institutions
- #43: Number of different potential payment models, needs will between different publishers and institutions
- #44: Need to standardise this to be able to establish what’s going on