Open access briefing 06/05/2017

The purpose of this presentation is to give you an overview of the open access landscape - locally, nationally and internationally.

Many journals are published on a subscription basis, i.e. the full text is accessible only to people who are affiliated to a subscribing institution or who pay to download a copy.

Open access means that anybody, anywhere with an internet connection is able to read and download the publication, without having to log in or pay.

Some of the benefits of open access It: •

enhances the visibility and impact of research

•

can increase the number of citations for the work

•

can create new opportunities for collaboration and the exchange of scholarly ideas

•

provides the public with access to publicly-funded research outputs

•

is a source of opportunities for innovation in wider society by e.g. individuals and business

•

reduces the obstacles to knowledge of institutional affiliation or economic status

University of Exeter Open Access Research and Research Data Management Policy

ORE

HEFCE Policy for open access in Research Excellence Framework 2021

It’s therefore important to keep this version, which is usually supplied by the publisher, sometimes only to the lead or corresponding author

Here are some examples of what the various versions of a paper look like as they go through the publishing process.

An institutional repository (IR) is an online archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution.

Publications deposited in ORE are very discoverable by the world at large!

They commonly appear in the top three search results in search engines.

Once deposited, each publication in ORE is assigned a ‘handle’; this is a permanent URL, and can be used as a persistent online identifier to point to the work in citations etc.

ORE

You can find easy-to-follow guides on various aspects of using Symplectic here: http://as.exeter.ac.uk/it/systems/symplectic/howtousesymplectic/

They are also in the help section of Symplectic

The main outliers (in REF 2014) to the equivalence I’ve made between panels and disciplines are Geography and ‘Sports-Related Studies’ (main panel C) which at Exeter are in a STEM college (CLES).

Many journals permit deposit of the accepted version to ORE. The publisher may require than an embargo is applied (period of time following publication before which article can be made available as open access). Whilst an article is under embargo, the item record is discoverable but the full text article itself can’t be viewed or downloaded.

Deposit upon acceptance. Open Research will apply any embargo required.

Once the embargo period has passed, the embargo will lift automatically and the article becomes freely available as open access in the repository.

Check embargo period at point of uploading accepted version in Symplectic.

Check individual journal policies: SHERPA/RoMEO Publisher imposed embargoes can conflict with funder requirements, in this situation the author may need to pay for open access.

Authors can pay for open access when publishing in two types of journals: fully open access (OA) or hybrid journals.

Full OA journal: all articles are published as OA on publisher website. APCs are charged for all articles, usually must pay APC to publish.

Hybrid journals: author can choose to pay an APC - publisher makes the article freely available as open access on the publisher website.

If author chooses not to pay an APC, the article will be published on a subscription basis (behind a paywall and accessible to people that are able to log in using their affiliation with an institution that buys a subscription to the journal or who pay to download a copy).

If an APC is not paid, you can usually still make article available as open access by depositing accepted version to ORE. For both of these – a licence is usually applied guiding reuse, such as one of the Creative Commons Attribution Licences e.g. CC-BY (most liberal, required by some funders)

APC prices vary considerably.

Funds available to pay open access APCs are finite and available on a first come first served basis.

Hybrid journals are on average more costly than fully open access ones.

From our APC data first nine months of 2016/17: • Average APC £2,198 incl. VAT (including discounts available through membership or offset schemes) • APCs ranged from £301 - £5,016 (VAT is charged for open access APCs)

Funder requirements for open access publishing vary.

Authors may have the option to comply by depositing to a repository, or by paying for open access 1. Check terms & conditions of research grant for open access obligations 2. Check funder open access policy (if applicable) • What types of publication are covered by funder open access policy?

• Can author comply through by depositing to a repository?

• Is there a maximum allowed embargo?

• What is the arrangement for paying for open access?

• What is required if an open access APC is paid e.g. CC-BY licence, deposit to PubMed Central

Authors may be able to comply with RCUK policy by depositing accepted version to ORE (MRC, BBSRC also need to deposit via Europe PubMed Central Plus) Publishers often impose an embargo on articles in ORE. RCUK allows an embargo of not longer than 6 months (STEM) or 12 months (HASS) If the publisher imposed embargo exceeds maximum allowed by RCUK, you may need to pay for Open Access.

The examples here show two different journals 1. Nature Physics allows deposit to institutional repository of accepted version of article with 6 months embargo (SHERPA/RoMEO). EPSRC maximum allowed embargo is 6 months. Publishing EPSRC funded research in this journal, you can comply through green OA (deposit accepted version to ORE) 2. Biology Letters allows deposit of accepted version of article with 12 months embargo (SHERPA/RoMEO). BBSRC maximum allowed embargo is 6 months, so the journal embargo is too long. If publishing BBSRC-funded research in this journal, consider paying for Gold OA in order to comply.

We administer RCUK open access block grant. This is available to pay open access publication fees for RCUK funded research.

Submit an open access funding request upon acceptance via the link on the website. We’ll provide billing details for completion of the publisher APC payment forms.

Apply upon acceptance so that we can make sure OA arrangements are in place ready for the article to be made OA immediately upon publication , so that it is not posted online behind a paywall for any period of time.

RCUK require CC-BY licence is applied if they pay for Gold open access.

We also administer the Charity Open Access Fund (COAF), for the payment of OA publication fees for research funded by any of the 6 COAF partner charities, including the Wellcome Trust.

Check individual funder policies for the types of publication covered. COAF is for peer-reviewed research and review articles (individual charities vary in scope) If an APC is paid, article must be published with CC-BY licence and publisher must deposit, on behalf of author, final published full text to PubMed Central immediately upon publication.

If there is no compliant paid open access option, author can self-archive accepted version via Europe PubMed Central Plus - no longer than six months embargo. (Also deposit to ORE to comply with University policy and HEFCE, for the REF) Submit an open access funding request via the same mechanism as for RCUK. Apply upon acceptance.

Wellcome Trust have good web pages detailing COAF policy + Wellcome Trust Open Access policy. Wellcome Trust website **Wellcome Trust also require Open Access to scholarly monographs and book chapters. The mechanism for paying for these is different, check the Wellcome Trust website for details.

Check compliance of the journal with Wellcome Trust policy using SHERPA/FACT

Depending on the type of ERC grant and under what Work programme it was awarded, different rules related to Open Access and Research Data apply.

ERC open access overview ERC open access guidelines (non binding) Open Access in FP7 Open Access in Horizon 2020

NIHR has a preference for paid (immediate) open access. A CC-BY licence must be applied.

Provision for payment of APCs is either through original award or NIHR open access fund; contact the NIHR coordinating centre to review the correct approach.

If there is no paid option, author deposit via EPMC+ with not longer than a 6 month embargo.

NIHR open access policy Other funders also have open access policies or guidelines.

Requirements vary by funder: check the policy to ensure you have the most accurate / up to date information.

If you cannot find details of funder open access requirements, contact them to check, or contact us – we can help you to find out.

Some institutional funding has been allocated to support payment of Open Access APCs for Exeter staff.

This funding sits alongside block grants from research funders that we also administer, intended for use where the funder of research cannot pay.

There will be assessment of quality of the research output, as part of criteria for accessing institutional funds Authors wanting to access institutional financial support for OA publication are encouraged to consult Directors of Research and Academic Leads before submitting papers to publishers.

The author submits an OA funding request to us, and the DoR indicates approval via email.

The intention is for the lead author to be based at Exeter, but we consider requests where this is not the case e.g. if the lead author has no access to OA funding.

Contact openaccess@exeter.ac.uk for Institutional APC Fund criteria, to submit a funding request, or for further information.

In addition to charging subscriptions and open access fees, some publishers also charge other publication charges such as page charges, publication fees, colour, figure charges.

These charges originated when the main mechanism for information dissemination was in print. They have less relevance in a digital environment (when there is no additional cost for extra pages, figures or colour).

Some publishers offer the option to choose colour “online only” for free.

We suggest that authors question the rationale behind these charges with the publisher, to see if they can be waived.

If they must be paid…

Check the T&Cs of the research grant, to see if publication fees are eligible costs.

So that APC payments can be prioritised, other publication charges cannot be paid from the Institutional APC Fund.

Publication charges can be paid from the RCUK block grant that we administer (they are not eligible to be charged to RCUK research grants since 2013): submit a publication charges funding request to us via email (the same as requesting OA funding).

All articles should be deposited via Symplectic to ORE. There are no fees associated with this. The article will be made freely available as open access in the repository, in accordance with publisher requirements (sometimes following an embargo period).

The article will be discoverable in the repository, it will have a persistent URL (handle) and it will appear in search engine results.

1. Publish in a journal that doesn’t charge an APC to publish as OA e.g. DOAJ The library signed a JISC agreement with Springer whereby there is no charge to authors to publish in eligible Springer hybrid journals as the cost of doing so is covered by the annual fee paid by Library (Springer Compact) 2. Information about this (and other APC discounts) available to University of Exeter authors are online: Publisher APC Discounts 3. Approach the research funder to ask if they will pay 4. Ask the publisher to waive the fee

Open Access should be considered at all stages of the publication process.

If you have questions, please get in touch!