Open Access Implications for research funding, management and assessment

ARMA Conference 9 th June 2010

Bill Hubbard Centre for Research Communications University of Nottingham

• Bill Hubbard Head of the Centre for Research Communications, [email protected]

• Dominic Tate Coordinator, Repositories Support Project (RSP), [email protected]

University of Nottingham

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?

Open Access • What is Open Access?

• Why is it needed?

– difficulties – opportunities • Benefits – academic – institutional – funders’ • Two complementary routes – Green – Gold

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

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

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

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

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

Juliet Home Page

Juliet Detail 1

Juliet Detail 2

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

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

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?

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

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?

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?

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

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?

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

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

• What individual institutional action is required?

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 institution’s public image and reputation • Enhance knowledge transfer functions • Support authors in their work within the institution

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

Questions?

• Bill Hubbard • Head of Centre for Research Communications • JISC Research Communication Strategist • [email protected]