RCUK Policy on Open Access Where have we got to? U·H·M·L · G , February 2014

1. RCUK Policy onOpen AccessWhere have we got to?U·H·M·L·G, February 2014 Mark Thorley RCUK Research Outputs Network mark.thorley@nerc.ac.uk

2. Summary • RCUK OA Policy and transitional flexibility. • 2014 Review – what and how. • Monitoring compliance and costs. • Sustainability.

3. Research Councils UK £11.2B

4. Why Open Access? • Research outputs must be accessible to enable exploitation. • Research funders have a responsibility to ensure accessibility. • Dissemination is part of the research process and has to be paid for. • Journals, libraries, repositories & publishers have a key role to play in the process. • Get the stuff out there and get it used!

5. RCUK Definition of ‘Open Access’ Unrestricted, on-line access to peer reviewed and published scholarly research papers. Specifically a user must be able to do the following free of any publisher-imposed access charge: 1. Read published research papers in an electronic format; 2. Search for and re-use (including download) the content. Allows unrestricted use of manual and automated text and data mining tools, as well as unrestricted re-use of content with proper attribution (as defined by CC-BY).

6. Scope of RCUK Policy • Peer-reviewed research articles: • Published in journals or conference proceedings; • Acknowledging Research Council funding; • Submitted for publication from April 2013. • Monographs, books, critical editions, volumes etc currently excluded.

7. Expectations: Researchers • Publish in RCUK Open Access compliant journal. • Include Research Council funding acknowledgement. • Where relevant, include statement on access to underlying research materials.

8. Expectations: Journals • Provide ‘Gold’ with: • CC-BY. • Or ‘Green’ with: • Deposit of final accepted MS in any repository; • No restriction on non-commercial re-use; • A limited embargo period (6 months in bio-medicine).

9. Expectations: Institutions • Institutions receiving RCUK OA block grants to: • Establish institutional publication funds; • Develop processes to manage and allocate funds transparently and fairly between disciplines and researchers. • RCUK expects the primary use to be for payment of APCs. • RCUK preference is for Gold OA, but decision lies with authors and institutions.

10. Implementation • Five year transition period. • Compliance: • Year-one 45%; • Year-two 53%; • Year-five 100% (¾ Gold, ¼ Green). • First evidence-based review Q4 2014.

11. Transitional Flexibility • Embargo periods: • Where funding for APCs unavailable, longer embargo periods allowable (12/24 months), except biomedicine (6 months max). • Use of OA block grant: • Flexibility over use, provided delivers RCUK OA policy; • Primary use still for payment of APCs for Research Council funded papers.

12. 2014 Review: Scope • International landscape. • Impact of policy on: • Disciplines; • Peer review; • Research collaboration. • Impact of licences. • Embargo periods. • Block grants and costs of managing them. • Overall cost of supporting APCs.

13. 2014 Review: Schedule • Review panel being constituted. • Call for evidence – planned for Q2 2014: • Invitations to key stakeholders to submit evidence; • Plus general ‘open’ call for evidence. • Review panel to consider evidence – Q4 2014. • Confirmed schedule will be widely publicised.

14. 2014 Review: Compliance monitoring • Has the RCUK policy made a difference? • How much RCUK funded research is: • Published? • Gold with CC BY? • Green? • Non-compliant? • Account for how ‘block grant’ has been spent, on a per-publisher basis.

15. 2014 Review: Compliance Analysis • By institution and by Research Council: • ‘Year-1’: April 2013 to July 2014; • Then on an academic year basis. • RCUK analysis based on sub-set of papers reported via ResearchFish and ROS: • Aim to include a ‘Year-0’ baseline (April 2010 to July 2011).

16. Monitoring: Working in partnership • Identify with Research Organisations: • Minimum achievable level of reporting; • Data gathering mechanisms. • RIN ‘HEI Best Practice Project’: • Cooperative framework for monitoring progress towards OA; • Working Group established.

17. The future must be sustainable Whatever the business model for OA it must be sustainable. The motto, Non Solus, says that promoting science is an effort that calls on mutual aid and support - no one can do it alone.

18. Sustainable: Who For? • Publishers: • Publishing quality, peer-reviewed journals costs money and these costs need to be covered. • Institutions and funders: • Green is not sustainable with journal subscriptions rising at 4% to 6% or more PA; • Hybrid-gold is not sustainable whilst institutions have to pay subscriptions and APCs.

19. The transition: Non Solus • Gold OA: • RCUK preference for immediate, unrestricted access to the ‘article of record’; • Publishers’ preference as sustainable and scalable in an OA world. • BUT transition costs are disproportionately falling on research funders and research institutions. • If publishers want Gold to succeed, they must help to support the costs of transition. • Differential pricing for hybrid-Gold.

20. Further information • RCUK Policyhttp://www.rcuk.ac.uk/research/Pages/outputs.aspx • RCUK Blogshttp://blogs.rcuk.ac.uk • Finch Group reporthttp://www.researchinfonet.org/wp-content/uploads/2012/06/Finch-Group-report-FINAL-VERSION.pdf • Royal Society Reporthttp://royalsociety.org/policy/projects/science-public-enterprise/report/ openaccess@rcuk.ac.uk

21. QUESTIONS ?

22. 2014 Review: Evidence

23. 2014 Review: Evidence

24. 2014 Review: Evidence