Facilitate Open Science Training for European Research 29 May 2015, Valletta, Malta Dr Birgit Schmidt, Göttingen State and University Library OPEN ACCESS POLICIES: ALIGNING STRATEGIES AND SERVICES What to expect from this talk • OA policies and mandates in general • A funder example: Wellcome Trust • Institutional policies • National strategies & their coordination • Publishers„ policies • Conclusions 3 It is not IF Open Access It is HOW Open Access 4 There are many OA mandates and policies world-wide http://roarmap.eprints.org/ 5 Why care about OA policies? 1 Formulating a goal for the institution. >> maximize access, dissemination & (re)use of research results via open access 2 Setting a framework for the implementation. >> who should act how, who supports (via infrastructure, services) 3 Working together to realize an ambition. >> what has to change, how will we know that it has been achieved, who monitors/assesses the progress 6 OA policies – Key questions • Who is responsible? • What is the context? • What strategy is applied? • Who does what? • How strong is the policy? • How is the policy monitored? Problem definition Policy design Policy adoption Implemen -tation Evaluation Policy cycle 7 Policies are a joint exercise. Think about your stakeholders, e.g. Researchers Funders Institutions Communities (domain-based, interdisciplinary) Administrators Libraries Publishers 8 Source: http://blog.fluxx.io What is the underlying strategy of the OA policy? So now you have a policy, but: Just passing a policy does not, on its own, change faculty attitutes regarding Open Access or deposit practices. Implementation depends on resources & willingness to engage: • High- and working-level support: Who endorses and reminds on the policy? • Human resources: central, decentral? • Infrastructure: a research information system (CRIS) and/or an institutional repository? • Financial: Do you have resources to set up and maintain a publication fund? 9 Researcher decides where to publish Check SHERPA RoMEO to see what OA and self- archiving options are available www.sherpa.ac.uk/romeo Publish in a subscription-based journal Publish in an open access journal IF OPTION EXISTS e.g. a ‘hybrid’ journal (a subscription-based journal that has a paid open access option) Immediate open access (via publisher) Immediate open access (via publisher) Pay Article Processing Charge (APC) Pay Article Processing Charge (APC) - if required Self-archive in a repository, based on publisher policy. Immediate or delayed open access, depending on publisher’s policy Search for a repository http://service.re3data.org/searc h or http://opendoar.org/ GOLD OA ROUTE GREEN OA ROUTE Adapted from Sarah Jones, see also: http://www.dcc.ac.uk/blog/fostering-open-science 10 Which routes will be supported and how? How strong is the policy? http://figshare.com/blog/2015_The_year_of_open_data_mandates/143 11 Policies imply costs: E.g. staff hours comparing green vs. gold OA http://www.researchconsulting.co.uk/wp-content/uploads/2014/11/Research- Consulting-Counting-the-Costs-of-OA-Final.pdf 12 Research funders • E.g. Wellcome Trust, European Commission, RCUK, FWF, DFG • Global Research Council member survey (2014): • 60% of respondents have an OA policy in place, 25% prepare a policy • Challenges: aligning policies to achieve greater clarity for researchers, effectiveness of implementation, monitoring compliance, increasing transparency of APC costs and pricing, assess quality and impact, rewarding researchers, etc. • Various strategies to support the implementation: • Combining support, infrastructures and monitoring • Rules for funded institutions / researchers: green OA deposit and/or gold OA publishing, rules about licensing • Funds for OA publishing during project period (and beyond) • Additional support measures on the institutional level, e.g. co-funding of publication funds, support for transformation of journals 13 Policy implementation – Wellcome Trust • Large science funder • 2006: OA policy • 2007: Data policy • Encourages data sharing • Deposit via UK PubMed Central, vast majority via publisher deposit • Pays OA APCs (incl. hybrid OA) • Agreements with Publishers • Compliance rate of 69% (up from 55% in March 2012) • Stricter enforcement since June 2012 14 http://www.wellcome.ac.uk/About- us/Policy/Policy-and-position- statements/WTD002766.htm ; http://www.wellcome.ac.uk/About- us/Policy/Spotlight-issues/Open- access/Guides/WTD018855.htm#_11._ What_happens 15 http://www.wellcome.ac.uk/About- us/Policy/Policy-and-position- statements/WTX035043.htm 16 Wellcome Trust: Where to deposit 17 Wellcome Trust: Monitoring the policy 18 Institutional policies • Typically combining green and gold OA • Green OA often the underlying principle • Gold OA is „easier“ to get started: they will come to you, however, involves to set up new workflows • Context of the policy on the institutional, national, international level 19 European University Association (EUA) Survey on OA (Oct. 2014) • Response rate of 13,5% (106 of 783 members) • 9 in 10 universities (93%) have an Open Access policy in place, are in the process of develo-ping one or planning its development • Encouraging researchers to deposit their publications in an institutional or shared repository (62%) is the main element of their OA policy • 8 in 10 have an institutional or shared repository in place • 12% only support the green route, 64% support both OA routes, 3% only gold OA 20 http://www.eua.be/Libraries/Publications_homepage_list/ Open_access_report_v3.sflb.ashx EUA Survey on OA – II • Awareness of the scientific publishers’ policies on Open Access was assessed as “excellent” or “very good” for librarians by 67.9% of respondents, for the institutional leadership by 25.5% of respondents and for researchers by 9.4% of respondents. • Most important action needed on the national and European level: provision of guidelines to clarify legal issues related to Open Access 21 http://www.eua.be/Libraries/Publications_homepage_list/Open_access_report_v3.sflb.as hx 22 A University Mandate – Liège, Belgium • Mandate • Introduced in 2007 • Focus on ‚deposit„ • All authors obliged • Success • Helps research evaluation • Support • Comes from top-down, Rector What to deposit http://www.surrey.ac.uk/library/research/openaccess/ 23 When to deposit: Immediate Deposit / Optional Access (ID/OA) 24 Content in repositories with OA mandates (2014) 0 10 20 30 40 50 60 70 80 90 100 full text OA restricted metadata only 25 Source: PASTEUR4OA (2015). Report on policy recording exercise, including policy typology and effectiveness and list of further policymaker targets, Deliverable 3.1, http://www.pasteur4oa.eu/deliverables How to handle restricted access 26 CERN headed for 100% OA https://cds.cern.ch/recor d/1955574/files/CERN- OPEN-2014-049.pdf 27 SCOAP3: Correlation of gold OA journal APCs and JIF http://www.scoap3.de/fileadmin/dateien/Dokumente/SCOAP3-APC.pdf 28 SCOAP3: Average APCs http://www.scoap3.de/fileadmin/dateien/Dokumente/SCOAP3-APC.pdf 29 Since 2005 encouraging and „soft“ Open Access mandate including suport and infrastructure 30  Teaching in networks  Publishing in networks  Reporting and statistics  Agreements with OA-publishers such as NJP, PLOS, BMC, Copernicus etc.  Publication fund supported by  publication strategies  legal framework  OA in the disciplines  enhanced publications platform openaccess.net  Universitätsverlag  Electronic dissertations  Repositories GoeScholar and GOEDOC 31 What works at UGOE? • High-level reminders, e.g. large collaborative research projects are asked to develop an OA strategy • Services for gold OA publishing, combined with OA deposit: publication funds, agreement with publishers, own university press • On-demand consultation on OA and IPR • Collaborations, e.g. • Research Office on implementation of the EC„s OA policies • Göttingen eResearch Alliance: linking policies on research data and publications • National and international networks of OA initiatives and services • Training activities, for librarians and young researchers 32 Research Data Policy of the Georg-August Universität Göttingen • Officially issued on 28th August 2014 • One of the first German universities with such a policy • Topics addressed: • Research Data, Research Data Management and its purposes • Data Management Plans • Support, training and provision of services • Storage location • Ethical and legal standards • Open Access • eResearch Alliance: support and advice on the implementation of the RDP for the Göttingen Campus 33 Publication funds in Germany • Co-funded by the German Research Foundation • Up to 2,000 EUR/article, no hybrids • Currently institutions develop strategies to sustain the funds • Joint collection of APC information on GitHub • inspired by Wellcome Trust publishing APC information in 2014 • coordinated by U Bielefeld • 18 participating universities, 5 research organisations / centres • 2014 dataset: Median APCs (universities only) c 1,200 EUR/article; overall 3,77 mio. EUR for 3,064 articles in 2014 • https://github.com/OpenAPC/openapc-de 34 OpenAPC-DE: Fees paid by institution 35 National policies are emerging Ireland, UK, Spain, Argentina, Portugal, … e.g. Ireland “Peer reviewed journal articles and other research outputs resulting in whole or in part from publicly-funded research should be deposited in an Open Access repository and made publicly discoverable, accessible and re-usable as soon as possible and on an on-going basis.” http://www.ndlr.ie/artefact/file/download.php?file=21093&view=384 36 Norway – Norwegian Research Council • Revised policy announced in 2014 • Five-year funding scheme for gold OA • Covering significant share of APCs (up to 50%) • Only OA journals that are registered in DOAJ (i.e. no hybrids) • Quality journals (level 1 or 2 of the publications registry of the Norwegian Association of HE Institutions) • Universities are required to establish their own publication funds http://www.forskningsradet.no/en/Newsarticle/A_ boost_for_open_access_to_research/1253997204 282?lang=en 37 Coordinating national policies • EC Communication of 2012 encourages alignment of OA policies of EU Member States • PASTEUR4OA: EC-funded support project • Survey results: • all the Nordic countries OA policies are aligned with that of the EC (100%) • 75% of the countries within South Western Europe • 43% within the North Western European region • 33% within the Eastern European region have their policies aligned with the EC‟s policy 38 PASTEUR4OA (2014): Briefing paper for experts’ meeting, http://www.pasteur4oa.eu/sites/pasteur4oa/fil es/deliverables/Deliverable%205.3%20Briefing %20paper%20for%20experts%20meeting.pdf PASTEUR4OA: Update on policy effectiveness • Revision and expansion of ROARMAP database • Policies world-wide: almost 60% based in Europe (400+ of nearly 700) • Deposit in repositories required by c 57% of all policies Deposit in repositories: What works? • Significant correlation between deposit rate and • „must deposit“ or „cannot waive deposit“ (for both OA or restricted deposits) • research evaluation (full-text deposits, not necessarily OA) • OA items tend to be deposited later than restricted items. Deposit tends to be earlier in a non-mandated environment (likely bec. self- motivated). Source: PASTEUR4OA (2015). Report on policy recording exercise, including policy typology and effectiveness and list of further policymaker targets, Deliverable 3.1, http://www.pasteur4oa.eu/deliverables 39 40 Elsevier‘s OA Policy Policy update in 2015: makes long embargos the general principle for green OA, requires CC-BY-NC-ND for self-archived final author manuscripts 41 42 Conclusions Policies are never final. Monitoring the uptake, rethinking the strategy, involving wider circles of stakeholders, etc. Policies are linked to each other. Alignment needed, to avoid confusion and to release of burden. It‘s all about changing people‘s behaviour. Take and apply the policy in your own situation (which will look different depending on context). Offering support and reminders helps. 43 Thank your for your interest and attention. Grazzi għall-attenzjoni tiegħek. If you have any questions: bschmidt@sub.uni-goettingen.de