A presentation by Dr Graham Stone, senior research manager, Jisc.

1. Research & Development
SueAttewell – Head of Change FE & Skills
3 July 2018
02/07/2018 Supporting a diverse ecology: New University Presses, Academic-Led Publishing and
the OA monographs mandate in the UK
Graham Stone
This photo, “Stamps: lots of them!” is copyright (c) 2010 Michele Ursino and made available under a CC BY-SA 2.0 licence

2. Definitions
»A “set of activities led by college and university libraries to support
the creation, dissemination, and curation of scholarly, creative,
and/or educational works”
Library Publishing Coalition. (2016). Retrieved from http://librarypublishing.org/about-us
»“a publishing initiative set-up and run by academics… …Academic-
led presses are most often not-for profit, independent, highly
ideological entities, set up to provide an alternative publication
route to the commercial presses or to support the open access
publishing of books for example”
Janneke Adema,Coventry University
Supporting a diverse ecology 202/07/2018

3. Where we are today
»In the UK we have a growing number of new
university presses, many based in the library
or library-academic initiatives
»The Changing publishing ecologies study was
driven by an approach from 28 member
libraries
»In the2017 survey we recorded 19 NUPs
operating in the UK – this has risen to 21 in
2018 with the recent launch of LSE Press. At
least 12 others may launch in the next 4-5
years
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4. 02/07/2018 Supporting a diverse ecology 4
University Press name URL Publication types
Cardiff University Cardiff University Press http://cardiffuniversitypress.org/ Journals; monographs; conference proceedings
Goldsmiths, University of London Goldsmiths Press http://www.gold.ac.uk/goldsmiths-press/ Monographs;non-standard modes and forms of communication
Kingston University Kingston University Press http://fass.kingston.ac.uk/kup/ Monographs
LSE LSE Press https://press.lse.ac.uk/ Journals; monographs, textbooks
SRUC (Scotland's Rural College) Rural Policy Centre (RPC) http://www.sruc.ac.uk/info/120161/our_publications Research reports; policy briefings
Universities of Leeds, Sheffield
and York
White Rose Press http://universitypress.whiterose.ac.uk/ Journals; monographs
University College London UCL Press http://www.ucl.ac.uk/ucl-press Journals; monographs; textbooks
University of Buckingham University of Buckingham Press https://ubpl.buckingham.ac.uk/ Journals; monographs
University of Central Lancashire UCLan Open Journals http://pops.uclan.ac.uk/ Journals
University of Chester University of Chester Press https://www.chester.ac.uk/university-press Monographs
University of Edinburgh
Edinburgh University Library Open
Journals
http://journals.ed.ac.uk/ Journals
University of Hertfordshire University of Hertfordshire Press https://www.herts.ac.uk/uhpress Monographs
University of Huddersfield University of Huddersfield Press http://unipress.hud.ac.uk/ Journals; monographs; textbooks; sound recordings
University of Surrey
Surrey Undergraduate Research
Journal (SURJ)
http://www.surrey.ac.uk/library/learning/undergraduatejournal/ Journals
University of Warwick Warwick journals hosting service https://journals.warwick.ac.uk/ Journals
University of Westminster University of Westminster Press http://www.uwestminsterpress.co.uk/ Journals; monographs
University of Winchester University of Winchester Press
https://www.winchester.ac.uk/research/winchester-university-
press/
Journals; monographs
University of York University of York Music Press (UYMP) http://www.uymp.co.uk/ Music scores

5. NUP publishing formats
Supporting a diverse ecology 5
0
2
4
6
8
10
12
14
16
18
20
Journals Monographs
(including
edited
collections)
Textbooks Conference
proceedings
Music scores Recorded music Data Other
Established and those considering a press
02/07/2018

6. ALP publishing fields and formats
»Wide range of fields in the humanities, but also sciences
› Some ALPs specialise in a specific field
› Others welcome submissions from all fields within the humanities
»Almost all of the 14 ALPs interviewed publish monographs
»Multimodal and experimental
› electric.press and Media Commons Press
› Others do not have the finances or technological skills
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7. Can libraries (and academics) operate as publishers?
» Librarians as a profession have a variety of skill sets and have a proven track
record of adapting to change. Skills include:
› Contracts and licensing
› Workflow management
› Academic liaison
› Marketing and evaluation
› Dissemination and discovery
› Analytics
» Many NUPs report to the library
› All are academic led, often at PVC level
› Many NUPs are managed by staff with publishing backgrounds, e.g. UCL,Westminster,
Huddersfield
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8. How sustainable are they?
»Most presses operate with just 1-1.5 staff
»Many NUP/ALPs run on a shoestring budget
»Often treated as pilot projects
»Funding for around 4-5 years in order to establish a business case
for the university
»However, when looking at the long tale of monograph publishers in
the last REF, there is certainly room for the new presses - if the host
institutions buy into OA for monographs, for example.
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9. Reputational Value and impact
»Long term benefits
› The argument here is not how much a print run of 100 books will make in profit
but
› How much reputational value and benefit there is to the University in
publishing an output
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10. REF2014 case study
»University of Huddersfield Press
› UoA 35: Music, Drama, Dance and Performing Arts
› 100 research outputs
› 11% included a Press publication (sometimes as part of a portfolio item)
»44% of the overall submission ranked as ‘World-Leading’ (4*)
»QR funding (quality-related research funding) per item was
calculated, which shows the potential return on investment
02/07/2018 Supporting a diverse ecology 10

11. QR funding
»Press outputs were at least partly responsible for a little under
£82.5K of the Music School’s QR funding in just one year
› One book entirely funded by the Leverhume Press brought in £7.5K of funding
› Another costing a little over £2K from School research funds helped to bring in
around £15K of QR funding
»Value proposition to the University - if this is the research income
from just one Department within the University, what would be the
contribution of Press publications in other research areas?
»This was used to develop a business case for further funding for the
Press
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12. OA mandate for monographs
»The former HEFCE’s ‘announcement’ in 2018 that there will be a
mandate for OA monographs in REF2027
› Effectively from 2021
› Puts NUP/ALPs in a very strong position?
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Sensible institutions will already have been thinking about how it might be
possible to unlock the unspecified ‘extra credit’ for exceeding the open-
access requirements of REF2021.
Martin Paul Eve http://blog.hefce.ac.uk/2017/02/28/its-time-to-heed-the-
drive-towards-open-books/

13. NUP/ALP contribution to REF2027
»SimonTanner’s analysis (2016) shows 8,513 books were submitted
to Main Panel D (Arts and Humanities) for REF2014
»46% of all books submitted from ten publishers (3,926)
»The total number of publishers returned to Panel D was 1,180
› Extremely long tail of publishers
› Room for ALPs/NUPs?
»…ability to contribute 14% of output given current capacity*?
*Based on broad assumptions of 200 monographs per year and all titles being REFable
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14. More on the Research England mandate
»Two streams of work in preparation
› Consultancy work: UKRI require a consultant to work with the four project
partners and the Steering Group to develop the method to capture the
information on monograph publishing in the UK, with a specific focus on open
access.We are particularly interested in understanding the specific challenges
and barriers (perceived and real) from a range of stakeholders including (but
not limited to): learned societies and subject associations, Pro-Vice-Chancellors
(Research), research librarians, publishers (traditional, commercial, new
university presses and academic-led presses) and funding organisations.
– https://www.contractsfinder.service.gov.uk/Notice/456093c1-17ae-4548-814f-23b4fdb8ed9a
› Engagement activities: with authors, learned societies and publishers
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15. …but
We still lack full infrastructure to support the ‘diverse ecology’
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16. KE OA monograph report
» OA monographs and the policies and models that
support them seem to be growing
» UK is a very commercial environment, business models
may require significant change
» Routledge, OUP, CUP, and Palgrave imprint make two
thirds of all monographs published in the UK
» These four produce nearly 7,000 monographs while
only accounting for 94 of the 594 UK OA titles listed in
DOAB (Oct 2017)
» Suggests that the larger companies have been slower
than the smaller ones in adapting the workflow
practices to accommodate OA monographs
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17. Support and guidance from Jisc
» Supporting community building
› UNIVERSITYPRESS@JISCMAIL.AC.UK
» A call for funders and government agencies to support
these initiatives
› Jisc are members of the UUK OA monographs working
group
» Integration with the library supply chain
› Discovery workshop planned for July 2018
» Assistance with increasing number of tools and
platforms to support publishing services
» …and a toolkit!
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18. Publishing services (1)
»Jisc Collections is implementing a Dynamic Purchasing System
(DPS) to enable NUPs to contract with suppliers that offer
publishing services
› Following the rules of the restricted procedure where suppliers will be asked to
respond following the submission of an OJEU notice
› Jisc will award contracts to a number of suppliers after an approval process of
specific criteria in each of the modules described below
› The DPS will be on a 1+1+1 basis, which allows us to re-issue the DPS if there
are lots of changes to the market. It also allows new players to bid at any point
in the process
02/07/2018 Supporting a diverse ecology 18

19. Publishing services (2)
»Each NUP is different and requires a different set of services, not all
suppliers off the whole workflow
»The DPS will allow NUPs to:
› See which suppliers provide publishing services and exactly what services are
offered
› This will allow NUPs to issue a mini tender to ‘approved’ suppliers within the
Jisc DPS, NUPs will write a statement of requirements that fit their needs.
However, the initial work will have been completed by Jisc on behalf of the
sector
› Benefits from knowing that the suppliers in the DPS have passed a set level of
entry requirements tested by Jisc and meet procurement regulations
› Feel secure that the contracts entered into will include model licence terms
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20. Our survey said
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0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
Governance/
structure
Licensing and
contracts
Financial best
practice
Peer review Distribution/
dissemination
Statistics Preservation Marketing
1 = not important
5 = really important
Existing (Average) Planning (Average)

21. "something like a toolkit would be
absolutely brilliant and you could
almost have a ‘how to’ flow chart".
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22. Infrastructure services
»Develop a toolkit
› Justifications for starting up a NUP
› Establish publication workflows
› Best practices guidelines
› Creation of a set of model licences, standardised agreements etc.
› Establish preservation guidelines
› Best practices for metadata (with NBK)
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23. Publication workflows (1)
Stage Journals Monographs
1. Governance
» Why publish?
» Editorial board structure
» Business models
» Structure of the workflow
» Internal resources vs outsourcing
» Why publish?
» Editorial board structure
» Business models
» Structure of the workflow
» Internal resources vs outsourcing
1. Editorial
» Editor/Author contracts
» Call for papers
» Author submission
» Adherence toCOPE guidelines on publishing
ethics
» Integration withORCID
» Peer review/quality assessment
» Author/series editor contracts
» Online proposal submission
» Support for internal review (Editorial/Advisory
Board)
» Integration with ORCID
» Peer review/quality assessment
»
02/07/2018 Supporting a diverse ecology 23

24. Publication workflows (2)
Stage Journals Monographs
1. Production
» Licensing
» Copy-editing
» Mark-up
» Design & Composition
» Type-setting (external or templates)
» Proofing
» Format (conversion) (print/online/normalised
XML etc.)
» Crossref DOI, ISSN creation
» Online publishing
» Print production (e.g. POD production for
humanities journals)
» Licensing
» Copy-editing
» Mark-up
» Design & Composition
» Type-setting
» Proofing
» Format conversion (print/online/normalised XML
etc.)
» Crossref DOI, ISBN creation
» Online publishing
» Print production (printing, binding, warehousing,
POD production)
1. Dissemination
» Metadata (by authors and editors) in publishing
schema
» OAI-PMH
» Library Integration
» Platforms, indexes, registries (e.g. DOAJ,Google
Scholar etc.)
» Abstracting and Indexing services and
referenced thesaurus /ontologies (see also
http://www.openedition.org/10909)
» Subscription management for OA journals
» Data mining
» Metadata (by authors and editors) in publishing
schema
» OAI-PMH
» Library Integration
» Platforms, indexes, registries (e.g. OAPEN,
DOAB,Google Scholar etc.)
» Abstracting and Indexing services and
referenced thesaurus /ontologies (see also
http://www.openedition.org/10909)
» Sales channels (Amazon, book shops etc.) and
income management
» Data mining
02/07/2018 Supporting a diverse ecology 24

25. Publication workflows (3)
Stage Journals Monographs
1. Preservation
» Cataloguing
» Deposit/archive in repositories
» Jisc Router
» Hosting Services (server support)
» Digital preservation: LOCKSS/CLOCKSS
» Cataloguing
» Deposit/archive in repositories
» Jisc Router
» Hosting Services (server support)
» Digital preservation: LOCKSS/CLOCKSS
1. Marketing
» Website
» Social Media
» Mailing lists
» News Letters
» Soft skills, e.g. relationship building
» Reader profiles and comments facility
» Long range planning
» Website
» Social Media
» Mailing lists
» Book reviews
» News Letters
» Conferences/book stand
» Reader profiles and comments facility
1. Analytics
» COUNTER compliant usage statistics
» Direct supply of data to JUSP
» Article-level metrics, article section-level metrics
» Altmetrics
» Citation count
» COUNTER compliant usage statistics
» Direct supply of data to JUSP
» Chapter-level metrics, book section-level metrics
» Altmetrics
» Citation count
02/07/2018 Supporting a diverse ecology 25

26. Best practices for metadata
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»Working with colleagues in the National Bibliographic
KnowledgebaseTeam (NBK)
»Previous work with OAPEN

27. Operas Project
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»A European research infrastructure for the development of open
scholarly communication, particularly HSS
»White papers planned for summer 2018:
1. Advocacy
2. Tools (R&D)
3. Standards
4. Business Models
5. Best Practices
6. Multilingualism
7. Platforms and Services

28. Summary
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»Small but reasonably established number of presses in the UK
producing high quality peer reviewed OA monographs
»Evidence of a growing community
»Limited funding and staff
»A community that requires support and infrastructure

29. jisc.ac.uk
Except where otherwise noted, this work
is licensed under CC-BY-NC-ND
Further info
Graham Stone
Jisc Collections senior research manager
Graham.Stone@jisc.ac.uk
02/07/2018 Supporting a diverse ecology 29