Open access workshop Developing an action plan to address the key challenges

Nicola Perrin
Strategic Planning and Policy Unit

Overview
• Findings of survey • Identifying key issues for discussion • Breakout groups • Feedback • Next steps

Benefits of open access
1. Raising the institution’s profile nationally and internationally (71%) 2. Disseminating knowledge (46%) 3. Increasing citations of work at the institution (33%)
Good basis for REF – OA articles should have greater opportunity to be cited, although more work is needed to see if OA articles really do have more impact” “Marketing, making our research visible and accessible”

Administering OA in practice
Researchers resent ANY time not spent on core research activity. From my perspective I feel there is confusion surrounding the whole area

It is something we need to get to grips with… one more burden to add to the overload....

OA funding administration is an additional workload… If funders require institutions to work with researchers to help them comply… funding needs to be provided for additional staff time

Need a single national uniform system in dealing with this

Priorities for funders to address
1. 2. 3. 4. Funding arrangements Improved communication Monitoring compliance Better coordination between funders and publishers
We need consistency in policies, consistency in processes, and clear mechanisms for claiming funds from sponsors

1. Funding

Meeting Open Access Costs
From a block grant awarded to the institution by a funder From funding received as part of their grant award -Through direct costs From claiming the costs back from their funder From funding received as part of grant award Through indirect costs From pre-paid subscription Departmental fund Other Don’t know

81% 65% 35%

31% 19%
8% 12% 8%

Base: All respondents (n=26) Q. How do researchers at your institution meet open access costs?

Which do you prefer?
1. Block grant (55%) 2. Direct costs on grant (20%) 3. Researcher claims funding at point of publication (10%)
Incorporating into indirect costs… would enable creation of a central OA publishing fund

Direct costs can be difficult if publication occurs after the close of a grant

Do you have a Central Fund?
Under consideration, 19%
Yes, 23%

Don’t know, 4%

No, 54%

Base: All respondents (n=26) Q. Does your institution have a central fund for processing funds for open access publication costs?

Barriers: Funders
Barriers
Difficult accessing funding for open access

Most significant barrier

85%

50%

Lack of clarity about how to comply with funder mandates

85%

27%

Different requirements/policies between funders

85%

12%

No action taken if researchers do not comply

69%

8%

Base: All respondents (n=26) Q. Indicate which of these are barriers? Q Which is the most important barrier?

1. Funding
Question: How can we address difficulties accessing funding?

2. Communication

Barriers: Researchers
Barriers
Lack of know ledge about how to comply

Most significant barrier
96% 92% 92% 88% 77% 69%
0% 15% 27% 50%

Insuff icient priority given to OA

Unaw are of funders’ OA policies

Unaw are of benef its of OA

Don't know how to self -archive papers

0%

Unaw are additional f unding is available for OA

4% 0%

Deposit in an institutional repository in addition to UKPMC

27% 4%

Other

4%

Base: All respondents (n=26) Q. Indicate which of these are barriers? Q Which is the most important barrier?

Communicating with researchers around OA
Emails/letters to researchers OA info on institution’s website Distributing funders' information

81%

69%

62%

Meetings/Seminars

46%

Other

23%

Base: All respondents (n=26) Q. Which, if any, of the following activities are undertaken at your institution to help explain to researchers how to comply with open access mandates?)

Examples of existing materials

2. Communication
Question: How can we improve researchers understanding of how to make articles OA?

3. Monitoring compliance

Barriers: Institutions
Barriers
Difficulties to ensure researchers comply with OA mandates

Most significant barrier

92%

54%

Unclear internal policy to deal with OA

69%

19%

Lack of priority given to OA by the institution

62%

15%

Difficulties in processing payments for OA

38%

0%

Other

15%

12%

Base: All respondents (n=26) Q. Indicate which of these are barriers? Q Which is the most important barrier?

Compliance monitoring: current practice

Under consideration, 23%
Don’t know, 8%

Yes, 15%

No, 54%

Base: All respondents (n=26) Q. Does your institution carry out any analysis to determine compliance with funder mandates?

Compliance monitoring: comments
Ensure there are sanctions for those who do not comply Funders need to start monitoring compliance with OA mandates and where researchers haven’t complied contacting them about this

We would like to be able to devote more time to determining compliance, and to managing compliance with funders’ mandates in a more efficient and thorough way, but staff do not have the time to do this

Funders should place requirements on institutions and researchers to ensure compliance, e.g. monitor compliance and explicitly relate to future funding

3. Monitoring compliance
Question: How can compliance be monitored most efficiently?

4. Publishers

Barriers: Publishers
Barriers
Different requirements between publishers Publishers not allowing open access Finding publishers’ author-pays option on website Determining if a journal has an UKPMC Funder compliant policy Publishers failing to deposit articles after payment has been made Difficulties with publishers' payment process 42% 81%

Most significant barrier
54% 19% 0% 8% 8% 8% 4%

73%

62%

58%

42%

Other

8%

Base: All respondents (n=26) Q. Indicate which of these are barriers? Q Which is the most important barrier?

Myth: publishers don’t allow OA
2% 2%

37% Did comply Could have complied Could not comply Journal not in SHERPA 59%

Base: WT associated papers appearing on PubMed and published between September and December 2008 (n=1467) Source: http://www.sherpa.ac.uk/romeo.php, PubMed

Publishers business models
We are spending too much time sorting out publisher mistakes – ie being chased for payments which we can prove have already been processed, or disentangling alleged duplicate payments which turn out to be publisher’s mistake

Funders should reach agreements with all publishers…

Some publishers seem to be charging excessive amounts for articles.. given Unis provide peer review for free, the business model seems unfairly skewed towards publishers…

Funders should work with publishers to ensure smoother transactions of payments

The lack of joined up thinking between the different funders… has allowed publishers to identify an additional funding stream … during the interim phase both the funders and the academic institutions pay twice

4. Publishers
Question: what are the main messages we should be giving publishers to make your lives easier?

Other issues

Institutional Repository mandates

Under consideration, 42%

Yes, 23%

No, 31%

Don’t know, 4%

Base: All respondents (n=26) Q. Does your institution have a mandate whereby researchers are obliged to submit papers to an institutional repository?

Institutional repositories
The ideal situation is that we would have our own repository making all our publications OA.

“Not to insist on availability in UKPMC but to promote use of institutional repositories as a ‘free’ alternative”

Funders should work with authors to ensure they submit their open access papers to their IRs also

Very interested in seeing progress made towards linking institutional repositories and UKPMC

UKPMC / Institutional Repositories
• Benefits:
‘discoverability’ added functionality grant reporting long-term preservation

• We are exploring ways to serve up UKPMC content for harvesting in IRs

Improving mechanisms for OA administration?
• Funders
- Clarify how financial support is provided for researchers to meet author-side payments

• Institutions
- Appoint single, senior person to coordinate management of publication fees - Establish dedicated budgets to meet OA costs

Breakout group discussions
1. How can we address difficulties accessing funding? 2. How can we improve researchers understanding of how to make articles OA? 3. How can compliance be monitored most efficiently? 4. What are the main messages we should be giving publishers to make your lives easier?
Each group to consider recommended actions for: funders, institutions, researchers publishers

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