Reviewing the OA landscape - Bill Hubbard and Helen Blanchett
1. Reviewing the OA landscape
Helen Blanchett / Bill Hubbard
Jisc OA Summer Series Community Event, 2018 1Photo by “Scott Wylie” CC-BY
2. The view
Interoperability
Research
workflows
Vendor lock in
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REF
Funder reviews
OA monographs
Negotiations
Boycotts
Funder platforms
Compliance driven
Reward &
incentives
Metrics
Open science
Reproducibility
Pre prints
Systems & processes
Costs
Staff & skills
Licensing & ownership
Culture
Policy
Institutions
Publishing
Systems
Research
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It can all get
a bit tangled . . .
Photo by “DCDC2011” CC-BY
4. Jisc OA Summer Series Community Event, 2018 4
So lets look from higher up
Photo by “Andrew” CC-BY
5. The Budapest Open Access Initiative
» An old tradition and a new technology have converged to make possible
an unprecedented public good.The old tradition is the willingness of
scientists and scholars to publish the fruits of their research in scholarly
journals without payment, for the sake of inquiry and knowledge.The new
technology is the internet.The public good they make possible is the
world-wide electronic distribution of the peer-reviewed journal literature
and completely free and unrestricted access to it by all scientists, scholars,
teachers, students, and other curious minds. Removing access barriers to
this literature will accelerate research, enrich education, share the
learning of the rich with the poor and the poor with the rich, make this
literature as useful as it can be, and lay the foundation for uniting
humanity in a common intellectual conversation and quest for
knowledge. February 14, 2002
Jisc OA Summer Series Community Event, 2018
6. The Definition of Open Access
»For various reasons, this kind of free and unrestricted online
availability, which we will call open access, . . .
» By "open access" to this literature, we mean its free availability on the public
internet, permitting any users to read, download, copy, distribute, print, search,
or link to the full texts of these articles, crawl them for indexing, pass them as
data to software, or use them for any other lawful purpose, without financial,
legal, or technical barriers other than those inseparable from gaining access to
the internet itself.The only constraint on reproduction and distribution, and the
only role for copyright in this domain, should be to give authors control over the
integrity of their work and the right to be properly acknowledged and cited.
Jisc OA Summer Series Community Event, 2018
7. Are we nearly there yet?
»Use Budapest as a touch stone - are we getting closer to
Open Access than we were 10 years ago?
» . . . than 5 years ago?
». . . than a year ago?
». . . than 6 months ago?
8. Some straws in the wind
»80% of outputs are aligned with REF policy
»CORE
› world’s largest aggregator - full text dataset has reached 49TB
› 131 million article metadata records
› 93 million abstracts
› 11 million hosted and validated full texts and over 78 million direct
links to research papers hosted on other websites
»Elsevier describes itself as an “information analytics
business ”
Jisc OA Summer Series Community Event, 2018
9. Yes, but . . .
»Yes, still policy driven - but without policies in favour,
Open Access adoption hovered at ~15%
»Overwhelming majority of researchers in favour of OA
concept
»Uptake throttled by set working habits, esteem
indicators, reward mechanisms
»Cultural change requires strong agents - money, esteem,
. . . time
Jisc OA Summer Series Community Event, 2018
10. So . . .
»Yes - there are tangled, knotty problems
»But prepare for the OA future which is growing around you
»Work to comply with policies and use the REF to gain
traction for change . . .
» . . . but keep the idea of OA apart from compliance; keep
stressing the benefits of OA, push the debate about
journal “brands” and esteem indicators, engage senior
levels of academics and managers in the debate and keep
them informed
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11. Because, yes - the top is in sight and we are almost there . . .
Jisc OA Summer Series Community Event, 2018 11Photo by “AnBen Robinsondrew” CC-BY
12. Key reports and reviews
»Monitoring the transition to open access, UUK report, Dec 2017
»Monitoring sector progress towards compliance with funder open
access policies, June 2018, HEFCE, RCUK, Jisc,Wellcome.
Published by Research England
»UK progress towards the use of metrics responsibly, UUK report
July 2018
»REF guidance released
»UUK OA Coordination Group reports released
»UKRI andWellcome both reviewing their OA policies this year
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13. Research England / Jisc / Wellcome survey
» Survey circulated to institutionsAugust 2017 to be
completed by end Sept 2017
» Aim - to further understand how far the sector is
meeting the funders’ open access policies and the tools
that are being used to do so
» Sought to understand how the success in increasing OA
outputs is being operationalised, noting difficulties
» Complements UUK ‘Monitoring the transition to OA’
report
» UKRI and Wellcome have since announced OA reviews
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14. Scope and content
»Publications that fell within scope of the REF 2021, COAF and RCUK
policies from 1 April 2016 to 31 March 2017
»Only articles and conference proceedings
»Seven themes:
› Approaches to open access software solutions (Q3-7)
› The policy for open access in Research Excellence Framework 2021 (Q8-17)
› Recording exceptions to the Policy for open access in REF 2021 (Q18-25)
› The RCUK and COAF open access policies (Q26-29)
› Publication metadata (Q30-36)
› Costs of open access – staffing (Q37-38)
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15. General findings
»113 institutions responded (68%)
»Survey data – some questions needed
greater clarity so interpretation difficult
› Double counting of RCUK/COAF
› Licensing
»Significant progress towards OA, but
systems to support this are ‘largely manual,
resource-intensive processes’
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16. Outputs in scope for REF
01/08/2018
The majority of institutions estimated they know of about 80% of outputs
Jisc OA Summer Series Community Event, 2018 16
17. Tools to track APCs
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18. Tools used to identify in-scope publications
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19. Jisc services
»Router
Used by 13 % of HEIs but 57% indicated that they plan to use it in future
Respondents repeatedly recommended that publishers engaged with this
service
»Sherpa
› 93% used Sherpa Romeo
› The “complex nuances of funder policy” as well the variety of publishers’
embargo periods caused institutions to extensively cross-check the results of
REF ComplianceChecker (particularly) and other compliance tools manually.
» RIOXX
› Used by 57 institutions. 63% of the 52 institutions not using said it was due to
incompatibility with CRIS or repository
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20. Conclusions
»Significant progress towards OA, but systems to support this are
‘largely manual, resource-intensive processes’
»Over 80% of outputs met REF requirements
› 61% plus 20% exception
»Some institutions only meeting policy requirement for those
publications expected to submit for REF – culture and systemic shift
towards openness has not happened
»RCUK & COAF fund approx. 2/3 GoldAPCs
»Variations in compliance levels, but this doesn’t necessarily relate
to levels of research intensity
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21. Conclusions
»Efficiencies needed (depositing AAMs, tracking APCs and
monitoring RCUK green OA)
»Particularly licence compatibilities with RCUK’s self-archiving policy
»A need to standardise funders’ licensing policies to ease
administrative burden
»Greater workflow efficiencies between institutions and publishers
(Router mentioned)
»Encourage uptake of RIOXX
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22. Other views
»Danny Kingsley “The institutions have spoken”
https://re.ukri.org/blog/danny-kingsley/the-institutions-have-spoken/
› 71% of HEIs reported that AAMs are deposited by professional
service staff
› 335 staff at 1.0 FTE recorded as ‘directly engaged in supporting
and implementing OA at their institution’
› Institutions focussing on outputs likely to be chosen for the REF –
‘ideology meets pragmatism’
› “What we are not measuring, or even discussing, is the reason
why we are doing this.”
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23. REF2021 draft guidelines and panel criteria
» Another consultation (but not on OA policy specifically, just clarity) – feedback by October 2018
» OA relevant parts –
› Paragraphs 107-116 REF2021 Open Access policy intent
› Paragraphs 213-245 REF 2021 OA policy guidance
» Selected points
› uthors and institutions should feel comfortable acting on the information provided by SHERPA
› A 5% tolerance of non-compliance
› Institutions may submit pre-prints as eligible outputs to REF 2021
› “No sub-panel will use journal impact factors or any hierarchy of journals in their assessment of
outputs. No output will be privileged or disadvantaged on the basis of the publisher, where it is
published or the medium of its publication”.
› ORCID IDs should be submitted for each researcher, where held
» David Kernohan’s Wonkhe blog post: wonkhe.com/blogs/what-we-now-know-about-ref2021/
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24. UUK OA Coordination Group
»July 2018 – reports on efficiencies, repositories, OA
monographs; recommendations on Gold OA
› Repositories and efficiencies
– Strong support for Sherpa, Router, ORCID
– Identifiers, metadata, standards
– Skills and UX/UI design raised
› Monographs
– OA books accessed more, global trend, innovative publishing routes
– Issues around costs, discoverability, third party rights
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25. Your thoughts?
»What are the key issues
that concern you?
»What are the issues of
concern at your institution?
»What feedback or
questions do you have for
Research England / UKRI?
01/08/2018 Jisc OA Summer Series Community Event, 2018 25Image: Alan Levine https://flic.kr/p/bUhKPg
26. Posters
Research data shared service RDM toolkit
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https://rdmtoolkit.jisc.ac.uk/
www.jisc.ac.uk/rd/projects/
research-data-shared-service
Contact:Tamsin.Burland@jisc.ac.uk
Editor's Notes
What’s new in OA? Danny Kingsleyhttps://unlockingresearch-blog.lib.cam.ac.uk/?p=2011
Policy
REF, UKRI and Wellcome reviews, monographs, Open Science
Platforms
Interoperability and vendor lock-in, CRIS systems, research workflow systems, next generation repositories, discoverability
Publishing trends
Negotiations, boycotts, pre-prints, funder platforms
Culture
OA still compliance driven, incentives and evaluation, metrics > responsible metrics
Skills
A new area, specialised skills, competition for staff
P. 56 Institutions reported confusion over their use of licences and terminology, publisher and funder policies. This may have led to inaccuracies in the survey
Outdated info in Sherpa cited as an exception reason
P. 56 Institutions reported confusion over their use of licences and terminology, publisher and funder policies. This may have led to inaccuracies in the survey
Outdated info in Sherpa cited as an exception reason
Authors and institutions should feel comfortable acting on the information provided by SHERPA in meeting REF 2021 open access requirements, and should not undertake additional work to verify this information.
… there are measures and exceptions which have been developed to provide a degree of tolerance of non-compliance.
For each submission, a maximum of five per cent of in-scope outputs that do not meet the policy requirement or do not have an exception applied can be submitted.
Institutions may submit pre-prints as eligible outputs to REF 2021 (see Annex K). Only outputs which have been ‘accepted for publication’ (such as a journal article or conference contribution with an ISSN) are within scope of the REF 2021 open access policy.
The following exceptions deal with cases where the output is unable to meet the deposit requirements. In the following cases, the output will not be required to meet any of the open access criteria (deposit, discovery or access requirements).
At the point of acceptance, it was not possible to secure the use of a repository
No sub-panel will use journal impact factors or any hierarchy of journals in their assessment of outputs. No output will be privileged or disadvantaged on the basis of the publisher, where it is published or the medium of its publication.
David Kernohan has a blog post and he discusses citation metrics a bit and the REF’s ire with them: https://wonkhe.com/blogs/what-we-now-know-about-ref2021/