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26 th S ep t ember 2014 Universi t y of S t A ndrews: Case s t udy

P r a ct i c a l app r oa c he s t o t h e i mp l emen t a t i o n o f HEFC E O A Po li c y JI S C Wo r ks ho p. 26 th S ep t ember 2014 Universi t y of S t A ndrews: Case s t udy. J ane t Au c o ck Uni v e rs i ty Lib r a ry j a @st- and r ew s . a c. uk. R e s ea r c h en v i r onment.

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26 th S ep t ember 2014 Universi t y of S t A ndrews: Case s t udy

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  1. Practicalapproachestothe implementationofHEFCEOAPolicyJISCWorkshop 26thSeptember2014 UniversityofSt Andrews:Casestudy JanetAucockUniversityLibraryja@st-andrews.ac.uk

  2. Researchenvironment • c.700 Academicstaff • • c.8000+students (80%UG,20%PG) • Researchintensiveandcompetitive • Leaguetables • Researchassessment • FundingfromRCUK,Wellcome,ERC….. • c.£40mofresearch fundingincomein2012/3

  3. Researchenvironment • PURECRISsince2010 • DSpacerepositoryResearch@StAndrews:FullTextsince2006 • Researchpublicationssupport • Researchassessmentsupport • Open access forpublications • Electronictheses service(mandate forresearchtheses since2007) • Onlinejournalhostingservice • Embarkingonresearch data supportservice • c39,000research outputs recordedin ourCRIS • c.4,500openaccess research outputsrecordedinourrepository (includingtheses)

  4. Researchenvironment • StAndrewsopenaccess policy • “TheUniversityencouragesitsresearcherstoprovideOpenAccesstopublishedresearchoutputssothattheyareonlineandfreelyavailable,meetingtherequirementsof thegrowingnumberofresearchfundersintheUKandinternationallywhonowencourageormandateOpenAccess.” • http://www.st-andrews.ac.uk/library/services/researchsupport/openaccess/oapolicy/ • Researchersarefreetopublishinthevenueoftheirchoice • Preferenceis forthe‘green’route • Alsosupports‘gold’inparticularcircumstances • Library • Open access steeringgroup • ResearchForum(Directors ofResearch fromindividualSchoolsand VP Research) • Strong linkswithResearchPolicyOffice • Individualresearchers

  5. Researchenvironment • Externalfunderopenaccessmandates • Librarymanagescentral openaccess funds • BISfund in 2013 £137k • • RCUKfund 2013/4 £203k • • RCUKfund 2014/5 £239k • Wellcomegrant2012/3ofc. £25k • Institutionalfund 2013/4 £25k • Selectionandmanagementof deals/discounts/publisherschemes.Valueformoney.

  6. Researchenvironment • Post-2014REFOpen Access Policy • Policyappliestojournalarticlesandconference proceedingswith anInternationalStandardSerialNumber(ISSN) • To be eligibleforREF,finalpeer-reviewedmanuscripts musthavebeendepositedin an institutionalorsubjectrepositoryonacceptancefor publication • HEFCEunderstandsthatnotallREF outputsmay be ableto meet requirements andsolimitedexceptionswillbe permitted • researchassessmentagenda • impactagenda

  7. TheOpenAccess andResearchPublicationsSupportTeam 2posts fundedfromRCUK grant Activeprogrammeof advocacyandsupport

  8. Actions foropenaccess • Checkthetermsofyourresearchgrant • Checkyourpublisher’spolicyandcopyrightterms • SeeLibrarywebpagesforguidanceandcontactopen-access-support@st-andrews.ac.ukforadvice • KeepyouracceptedmanuscriptanddepositinPURE • AcknowledgefundersincludingGrantIDsandlinkProjectstoPublicationsinPURE • Providestatementsonaccesstounderlyingdataandlinkswhere possible • UsetheUniversity’sfinancedetailcode(4215)ifpayingOAfees

  9. ChallengescommontofunderpoliciesandHEFCEpolicy • Howdowe gettoknowaboutnewpublicationssothat thesupportand dialoguecanbegin? • The naturaldialogueofresearchersis with theirpublishers,nottheirCRIS orIR • Universitystronglyencourageslocaldepositbutno mandate • Answers? • Builda dialoguethroughlocalsystemsand localcontact. • Changethe culture and trytointegratethisdepositprocess into theresearchersworkflowwhenpublishing • Alertingservices?Pushpublishermetadatainto institutionalsystems?Make it easierfor authors.Incentives for authors

  10. ChallengescommontofunderpoliciesandHEFCEpolicy Canwe get intothe publishing dialogue early enoughtosupportand advise on gold orgreenopenaccessoptions? • Doauthorsunderstandthevariedoptionsonvariedpublishersitesandsubmission processesorunderstandifjournalsarecompliantwithfunderpolicies • Doauthorsevenknowthattheirfunderhasamandateorthatfundsareavailable? • Wedon’toftenseethesubmissionprocessinterface • Answers? • Buildadialoguethroughlocalsystemsandlocalcontact • Changethecultureandopenupthesubmissionprocessintotheresearchersand openaccesssupportworkflows • Moreopensystemswherewecanview thequestionsandgiveadviceinadvance • Morestandardsubmissionsystems,screens,terminology,optionsoffered

  11. Challengesfor fundermandates • Howdoweknowifthepublicationissubjecttoafundermandate? • Canwepayforopenaccessoutofourcentralopen accesspublicationfunds(fineprint)? • OnceweknowthatwecanauthoriseanAPCwhatis thecomplexitylevelofinteractionwiththepublisher? • Whataretheinstitutionalfinancialworkflowsfor processingandrecordingpayments?Whatleveloffinancialrecordingdoweneedtoprovidetomeet reportingrequirements?

  12. Fundercompliancereportingandcallforevidence • RCUKcompliancereporthttp://hdl.handle.net/10023/5402 • 71%compliancerate • Effectively managed • Detailedset ofAPCpayments • Info.aboutcosts,averageAPC costs,staffingresources required • Howauthors interactwith thefunds • Lotsofmediatedtransactions

  13. Challenges • Letsnotforgetgreenandrepositorydeposit • Howdowegetfulltexttoachievegreenopenaccess • Howdowegettherightversionoffulltexttomake openaccess • Howdoweencourageresearcherstodothisand checktheircompliance? • Answers? • Post-2014REFOpenAccessPolicyispushinggreen andtheuseofrepositories • Opportunityforadvocacyandsupport

  14. HEFCEPolicy:Challenges(gamechanging,welcome,butstillchallenging!)HEFCEPolicy:Challenges(gamechanging,welcome,butstillchallenging!) • ConstantthreadofactivitysinceApril2014 • KeyplayersareOARPS,LibraryDirectors,OASG,RPO,VP research,ResearchForum • Depositatpointofacceptance. Realissuesre.sourcingmetadatafor institutionalsystems.Usuallydonelaterfromaccepteddatabasessuchas WOSandSCOPUS • Connectionofopenaccesswithresearchassessmenteligibilityis potentiallysensitivearea. Carefulhandling. • Changeindirectionfromblockgrantsandfundermandatesieshiftin emphasisongoldtogreen,orinfactyoucandoboth.Managingchange andchoices • Fromthestartmessageis thattheUniversitywillbeofferingasmuch guidanceandsupportasitcanonthepolicy. This is centredonthe OARPSteamintheLibrary

  15. HEFCEPolicy:Activities • Lean • Processrefinementcoveredfundermandates,APCprocessesandextendedtocoverHEFCEpolicy • Energisedus.Gavefocus.Andlistof150+actionswithtimelineforrealsignsofengagementanduptake byApril2015 • Communicationsstrategyforopenaccess • Simplemessageapproach • Newwebpages • Clearpointsofcontact

  16. I--- --•.

  17. http://openaccess.wp.st-andrews.ac.uk/

  18. HEFCEPolicy:Activities • Academicandinstitutionalbuy in • FirmandclearmessagefromUniversityManagement • GettheHEFCEpolicyincorporatedintoourInstitutionalopenaccesspolicy • TimescaletoprovideleadinandpreparationtimeforApril2016 • CouldbesomeresistancetoadoptingdepositatpointofacceptancebeforeApril2016 • Counterargumentisthatweneedtogetreadynow. Can’thaveadelugeoftrainingandsupportrequestsinApril2016.Wanttoplantheapproach • Communicationsstrategyandsupportstrategyiscrucial • Repetitionofmessageonwhattodoandwhatsupportis available • Selfservicedeposit/mediated/mixedapproach?Assessinstitutionalriskifwe don’tdoanymediationbutarecompletelyhandsoff!! • Gatherevidenceoncostsandstaffingrequirements

  19. ChHaElleFnCgEesPolicy:Activities • Systemfunctionalityandrequirements • SpecificationforREF2020OA elementsforPURE • Link to early version of specification and metadata requirement openly available at • https://drive.google.com/file/d/0B9lRXjNh0tNMQzNWT3A0VVJKcW8/edit?usp=sharing • https://docs.google.com/spreadsheets/d/1eslWZNZwrBIaqfb69lggv3KxhaEYgd0dNxseZaxRM-s/edit?usp=sharing • Timelagfor firstimplementationinPURE.June2015release • AgreedthroughPURE UK usergroupandPURErepositoriesworkinggroup • Functionalitytocover elementssuchas acceptancedate,multipledocumentversions management,handlingofexceptions,reportingoncomplianceandeligibilityof publicationsfor REF • Functionalitytoimproverecordupgradeandmergingbecauseweenvisagemetadatatogothroughasequenceofenhancementsduringtheprocess • Don’tknow ifPURE canmeetour completespec.Will needtoagreepriorities • Interoperabilitytoimportmetadataatdifferentstages.Particularneedfor earlymetadata • Envisagehavingto operatenewpolicyincurrentsystemanywayanddevelopcopingstrategiesuntil wegetnew systemfunctionality.

  20. HEFCEPolicy:Activities • Policyclarification • Needforclarityandlackofambiguityinthepolicyasap • Timelyandcomprehensivepolicyannouncements.IncorporatetheFAQ’sintothepolicydocumentandreferencethetwotoeachother? • CoordinatefunderpoliceswithHEFCEpolicies. Don’tmakethetwocontradictoryorpotentiallycontradictory. Reconcilethem. • NeedthefullmetadataspecificationtoinformPURE specification • Auditingdetailegdoweneedtoprovideevidenceofacceptancedateiehang acopyofapublisheremailinoursystemtomeetaudit • Auditingdetailegwhatevidenceofexceptionsdowehavetoprovidefora publication • WillthefulltextdepositedbethefulltextwhichisusedforassessmentorwillthismainlystillrelyonDOIlinks? • Whatdoesthereferencetocreditforprovidingopenaccesstoawiderrange ofoutputsthanthosespecifiedbythepolicyreallymean? • Resourcing,especiallystaffing.NomoneyorgrantprovidedforHEFCEpolicysupport

  21. ChHaElleFnCgEesPolicy:Activities • Pathfinderprojects • Joint LOCH projectwithEdinburghandHeriotWatt • http://libraryblogs.is.ed.ac.uk/loch/2014/06/24/welcome-to-the-loch-blog/http://openaccess.jiscinvolve.org/wp/pathfinder-projects/ • Communityof practice and bestpractice • System and workflowelements • Humanelements • Fitsinwellwith ourLeanoutcomes and actionsforcommunicationandsupportforauthors • Minipathfinderpilotprojectswith minimumof3 academic schoolstoleadon best practice andefficiencies • Centralisedand decentralisedsupport

  22. ChHaElleFnCgEesPolicy:Activities • Dialoguewithauthors • Focusgroups • Strategiesforengagement • Getauthorsworkingtogetherandsupportingeachotherratherthanbeing isolated • KeySchoolcontacts.Admin.staffandresearchmanagers. • Actionplans • BuildonRCUKactivitiesandcompliance • Simplemessages,communicationsstrategy • Webpages • Youdeposit,wedotherest • Screencastofbasicdepositprocessandtimeit. Todemonstratethatsomeofthiscanbedonequicklyandwithouttoomuchpain • Activity justabouttostartandworkingonspecificationtoscoperemitandmeasureeffectivenessoftheminipathfinders

  23. Hitlist andwishlist • Typicalprocessnowstartswithanauthoraskingasimplequestion.Iamjust aboutto/havejusthadapublicationacceptedforpublication. Canyouhelpmewithmakingthisopenaccess? • Thisresearcherknowstoaskthequestion…….. • Researcherbuyintotheprocessandculturechange.Hastobeeasierforthem,easyworkflows,easyexchangeofinformationandmetadata,easierinterfaces • Ifopenaccesssupportteamscanhavecoordinatedandintegrated infrastructureandsystemstobealertedtopublicationevents,andtorecordtransactionseasilyandshowbenefits,thenthisreinforcestheculturechange. Longtermselfservice,shorttermlotofmediation • Seriousresourcingwithininstitutionsforsupportservicesandtopayfor effectivefunctionalityforinstitutionalsystemsandinteroperability

  24. Hitlist andwishlist • Needforacademicengagement.Demonstratevalue.(oppositeendofspectrumtonationalprojectsandinitiatives).Academicsstillseemtobeleftout • AuthorsstillpreoccupiedwithcostsofGold.Perceivedasmoneythatshouldbespentonresearchitselfandwouldbebetterreceivedif genuinelybelievethatpublishersareoffsettingAPCs againstsubscriptioncosts • Green,seenascosteffective,butproblemsofimmediacy/embargoanda “reputable”version. Plus publisherspolicesconstantlychangere.copyrightandrepositorypermissions.HoweverHEFCE policysupports green • Maybetimehascometo“justdoit”ratherthanhavingtoomuch debate

  25. Wishlistinaction • Returningcustomers • Requestsfor trainingsessions • Increaseinenquiries • • Good stories: involvementinPress Officeworkflow togetinteractionwithauthorswhentheypublish • ContactwithSchooladministratorsandPAs • Learningwhatmotivatesauthors tobuy intotheOAprocess • OJS andjournalhostingservice • Monographseriesforresearchcentrehostedin repository • Reportinggoodstats onusage • Increaseincontent • Research@StAndrews:Fulltext2014:1650thesesavailable

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  27. Informationandsupportforopenaccess Openaccessnewresearchpageshttp://openaccess.wp.st-andrews.ac.uk/ Librarywebpages http://www.st-andrews.ac.uk/library/services/researchsupport/openaccess/ OpenAccessblog:http://univstandrews-oaresearch.blogspot.co.uk/Journalhostingservice: http://www.st-andrews.ac.uk/library/services/researchsupport/journalhosting/ LibGuide:http://libguides.st-andrews.ac.uk/openaccessEmail: open-access-support@st-andrews.ac.uk

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