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Implementing Open Access Policy at University of St. Andrews: Lessons Learned and Best Practices

Explore the practical strategies and challenges faced in implementing HEFCE OA policy at University of St. Andrews. Discover insights from the research environment, funding sources, open access mandates, and compliance strategies. Learn about managing central open access funds, post-2014 REF open access policy, and incentivizing authors for compliance. Uncover the key actions, support measures, and solutions to enhance open access implementation within the academic community.

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Implementing Open Access Policy at University of St. Andrews: Lessons Learned and Best Practices

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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

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  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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