Generic OA presentation for department events and meetings. Sections to be edited or omitted as relevant. 20 minute delivery, 30-40 minutes Q&A.

1. Open Access
RCUK Open Access Policy &
post-2014 REF requirements
James Bisset james.bisset@durham.ac.uk
Academic Liaison Librarian (Research Support)

2. What?

3. “on average across the NHS, [only]
about a third of relevant journals
were available free at the point of
use”
http://bit.ly/MnfGEY
Finch Report (June 2012), from data originally reported in
Heading for the Open Road: costs and benefits of transitions in
scholarly communications, RIN, PRC, Wellcome Trust, RLUK and
JISC, 2011.

4. “many researchers … in smaller and
less research-intensive institutions
… do not have access to a sufficientlywide range of titles”
http://bit.ly/MnfGEY
Finch Report (June 2012), from data originally reported in Access to
scholarly content: gaps and barriers, RIN, Publishing Research
Consortium and JISC, 2011.

5. “across central Government and its
agencies, some 17% of relevant articles
are available free at the point of use.”
http://bit.ly/MnfGEY
Finch Report (June 2012), from data originally reported in Heading for
the Open Road: costs and benefits of transitions in scholarly
communications, RIN, PRC, Wellcome Trust, RLUK and JISC, 2011.

6. “lack of access … may mean that
advice and inputs to policy-making
are delayed or incomplete."
http://bit.ly/MnfGEY
Finch Report (June 2012), from data originally reported in Rightscom.
Benefits of Open Access to Scholarly Research Outputs to the Public
Sector, Report for the Open Access Implementation Group, , 2012

7. “the voluntary sector … [often has to]
rely on reports from research
organisations and Government
departments"
http://bit.ly/MnfGEY
Finch Report (June 2012), from data originally reported in Office for
Public Management, Benefits of open access to scholarly research
for VCS organisations, JISC 2012.

8. An article that is
Open Access
can be
freely accessed
by anyone
in the world
using an
internet
connection.

9. no subscription...
...no login or password

10. Some Open
Access
articles may
also allow full
or limited reuse of the
content in the
publication...

11. “... 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.“
http://www.budapestopenaccessinitiative.org/read
Budapest Open Access Initiative.

12. Terminology

18. A subscription journal such as Nature
Communications offers AUTHORS:
- [GREEN] the option to publish normally & selfarchive their final peer-reviewed manuscript for free
- [GOLD] the option to pay-to-publish for a cost of
$4800-$5200

19. A subscription journal such as Nature
Communications offers AUTHORS:
- [GREEN] the option to publish normally & selfarchive their final peer-reviewed manuscript for free
- [GOLD] the option to pay-to-publish for a cost of
$4800-$5200

20. Check the
requirements
of your funder

21. RCUK Policy

22. Open Access Policy

23. Open Access Policy
• applies to any peer-reviewed journal
articles or conference proceedings which:

24. Open Access Policy
• applies to any peer-reviewed journal
articles or conference proceedings which:
- were submitted for publication on or after
1st April 2013
- Acknowledge funding from one of the
seven UK Research Councils

25. Authors must…
• include a statement providing details of
funding supporting the research;

26. Authors must…
• include a statement providing details of
funding supporting the research;
• include a statement, if appropriate, on how
underpinning research data can be
accessed.

27. Authors must…
• include a statement providing details of
funding supporting the research;
• include a statement, if appropriate, on how
underpinning research data can be
accessed.
• publish in journals which are compliant
with Research Council policy on Open
Access;

28. Is the journal compliant?
In order to be deemed compliant with RCUK Policy, a journal must
either:
“ [GOLD] provide, via its own website,
immediate and unrestricted access to the
final published version of the paper, which
should be made available using the Creative
Commons Attribution (CC BY) licence. This
may involve payment of an „Article
Processing Charge‟ (APC) to the publisher.“

29. Is the journal compliant?
In order to be deemed compliant with RCUK Policy, a journal must
either:
"provide, via its own website, immediate and unrestricted access to the final published version of the paper, which
should be made available using the Creative Commons Attribution (CC BY) licence. This may involve payment of an
„Article Processing Charge‟ (APC) to the publisher.“
or...
[GREEN] permit the author to deposit their
"final Accepted Manuscript in any repository,
without restriction on non-commercial reuse and within a defined period. No APC will
be payable to the publisher."

30. Clarifications:
Green
“Within a defined
period”
Gold
“using the Creative
Commons
Attribution (CC BY)
licence”

31. Clarifications:
Green
Embargo periods
No Gold OA option
AHRC & ESRC: 12 months
Other RCs: 6 months
Gold OA option
AHRC & ESRC: 24 months
MRC: 6 months
Other RCs: 12 months
Gold

32. Clarifications:
Green
Embargo periods
No Gold OA option
AHRC & ESRC: 12 months
Other RCs: 6 months
Gold OA option
AHRC & ESRC: 24 months
MRC: 6 months
Other RCs: 12 months
Gold

33. Summary:
• include a statement of funding
• include a statement of research data
• publish in journals which are compliant

34. what to do

35. Support at Durham
• Checking compliance of journals (library)
• Managing and maintaining Durham
Research Online (your institutional
repository)
• RCUK Block Grant (£276,578 for 2013/14)
• Reporting back to RCUK/HEFCE

36. Writing article
for journal
What open access
options does the
journal offer
If required, will
funding be available
Article
submitted
Article
accepted
Any APC charged is
paid

37. Writing article
for journal
What open access
options does the
journal offer
If required, will
funding be available
Article
submitted
Article
accepted
Any APC charged is
paid

38. Step 1
Author
needs to
know
options for
preferred
journal

41. Step 2
Author
request
funding is
committed
to being
available

42. APC Funding
Requested
APC Library
Reference
The only new fields for authors to
complete are:
• Confirm you require funding
• Provide the reference number
provided with confirmation

43. Durham Research
Online (DRO)

44. Durham Research Online

45. Durham Research Online
• 10,273 records in DRO
- 3,837 full text (37%)
- 87 further records embargoed (1%)
• Durham Open Access Policy
http://dro.dur.ac.uk/du_oa_policy_summary.pdf
• Add bibliographic details; Tick the box; Attach
your final accepted manuscript.

46. Durham Research Online
Department
(Faculty of Science)
Biological/
Biomedical
Chemistry
Computer Sciences
Earth Sciences
Engineering
Mathematics
Physics
Psychology
Records Full text
% full Publisher
in DRO deposited text
does not
permit full
text to be
made
available
347
111 31.99
47
398
154
319
595
483
839
409
125
80
73
246
242
534
134
31.41
51.95
22.88
41.34
50.10
63.65
32.76
123
8
36
59
45
96
44
% no OA
permitted
by
publisher
% that could be
achievable to
make OA via
DRO if authors
deposited full
text
13.54
86.46
30.90
5.19
11.29
9.92
9.32
11.44
10.76
69.10
94.81
88.71
90.08
90.68
88.56
89.24

47. Durham Research Online
Department
(Faculty of Arts and
Humanities)
Classics and Ancient History
English Studies
History
Modern Languages and
Cultures
Music
Philosophy
Theology and Religion
Classics and Ancient History
English Studies
Records Full text
% full Publisher
in DRO deposited text
does not
permit full
text to be
made
available
99
33 33.33
16
207
54 26.09
57
223
85 38.12
47
248
96
188
265
99
207
61
34
70
75
33
54
24.60
35.42
37.23
28.30
33.33
26.09
32
19
33
65
16
57
% no OA
permitted
by
publisher
% that could be
achievable to
make OA via
DRO if authors
deposited full
text
16.16
83.84
27.54
72.46
21.08
78.92
12.90
19.79
17.55
24.53
16.16
27.54
87.10
80.21
82.45
75.47
83.84
72.46

48. Durham Research Online
Department
(Faculty of Social Sciences
and Health)
Anthropology
Applied Social Sciences
Archaeology
Economics, Finance &
Business
Education
Geography
Government & International
Affairs
Law
Medicine & Health
Records Full text
% full Publisher
in DRO deposited text
does not
permit full
text to be
made
available
459
169 36.82
68
367
130 35.42
52
671
271 40.39
129
843
227 26.93
122
% no OA
permitted
by
publisher
14.81
14.17
19.23
14.47
% that could be
achievable to
make OA via
DRO if authors
deposited full
text
85.19
85.83
80.77
85.53
361
1083
456
120
458
209
33.24
42.29
45.83
34
170
52
9.42
15.70
11.40
90.58
84.30
88.60
645
204
31.63
173
26.82
73.18
1003
315
31.41
164
16.35
83.65

49. Wellcome Trust

50. Initially only applied to peer-reviewed
journal articles.

51. Initially only applied to peer-reviewed
journal articles.
Has now been extended to monographs and
book chapters.

52. “holders of grants awarded after 1st October
2013, and for existing grant-holders from
October 2014”

53. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks,

54. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks, 'trade' books,

55. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks, 'trade' books,
general reference works

56. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks, 'trade' books,
general reference works or works of fiction,

57. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks, 'trade' books,
general reference works or works of fiction,
or to collections edited but not authored by
Trust grantholders …

58. “holders of grants awarded after 1 October
2013, and for existing grant-holders from
October 2014”
“does not apply to textbooks, 'trade' books,
general reference works or works of fiction,
or to collections edited but not authored by
Trust grantholders … or non-fiction work[s]
… aimed at a general audience and
published by a commercial publisher.”

59. “… to be made available through
PubMed Central (PMC) and Europe
PubMed Central (Europe PMC) as
soon as possible and in any event
within six months of the publisher's
official date of final publication.”

60. “… encourages - and where it pays
an open access fee, requires authors and publishers to licence
research papers using the Creative
Commons Attribution licence (CCBY).”

62. No central institutional funding
Wellcome Trust will cover APC if the CCby licence option is available and
chosen by author.
Will also cover additional publication
costs through their inflation/flexible
funding allowance

63. Not limited to RCUK and
Wellcome Trust…
-
Action on Hearing Loss
Arthritis Research UK
Breakthrough Breast Cancer
British Heart Foundation
Cancer Research UK
Department of Health
Dunhill Medical Trust
European Commission
European Research Council
JISC
Marie Curie Cancer Care
Motor Neuron Disease Association
Parkinsons UK

64. Horizon 2020

65. “must ensure open access to all peerreviewed scientific publications relating to its
results”

66. “must ensure open access to all peerreviewed scientific publications relating to its
results”
- required for journal articles

67. “must ensure open access to all peerreviewed scientific publications relating to its
results”
- required for journal articles
- strongly recommended for other publication
formats

68. “must ensure open access to all peerreviewed scientific publications relating to its
results”
- must deposit the published version or final
peer-reviewed manuscript in a repository
(such as DRO), “at the latest upon publication”.

69. “must ensure open access to all peerreviewed scientific publications relating to its
results”
- must ensure the full text is accessible from
the repository within a maximum of 6 months
(12 months for social sciences & humanities)

70. “the beneficiary must [also] aim to … at the
same time [make accessible] the research
data needed to validate the results presented
in the deposited scientific publications.”
- preferably by depositing in a data
repository.

71. “the beneficiary must [also] aim to … at the
same time [make accessible] the research
data needed to validate the results presented
in the deposited scientific publications.”
- preferably by depositing in a data
repository.

72. Post-2014 REF

73. Post-2014 REF

74. Post-2014 REF
Announced they would be consulting

75. Post-2014 REF
Announced they would be consulting
Consulted about consulting

76. Post-2014 REF
Announced they would be consulting
Consulted about consulting
Have ran a consultation (Durham response
available at http://bit.ly/18yuxXO)

77. Open Access and the REF

78. Open Access and the REF

79. Open Access and the REF

80. Post-2014 REF

81. Post-2014 REF
Limited to peer-reviewed journal articles and
conference papers.

82. Post-2014 REF
Limited to peer-reviewed journal articles and
conference papers.
Notice period from the date of the policy
announcement.

83. Post-2014 REF
Limited to peer-reviewed journal articles and
conference papers.
Notice period from the date of the policy
announcement.
Likely to have built in exclusions.

84. Post-2014 REF
Limited to peer-reviewed journal articles and
conference papers.
Notice period from the date of the policy
announcement.
Likely to have built in exclusions.
Must be accessible from the author‟s
Institutional Repository

85. Summary

86. … the bottom line…

87. … the bottom line…
REF requires deposit in an Institutional
Repository

88. … the bottom line…
REF requires deposit in an Institutional
Repository
RCUK requirements can (usually)* be met by
depositing in an Institutional Repository

89. … the bottom line…
REF requires deposit in an Institutional
Repository
RCUK requirements can (usually) be met by
depositing in an Institutional Repository
Horizon 2020 requirements can (usually)* be
met by depositing in an Institutional
Repository

90. … the bottom line…
REF requires deposit in an Institutional
Repository
RCUK requirements can (usually) be met by
depositing in an Institutional Repository
Horizon 2020 requirements can (usually)* be
met by depositing in an Institutional
Repository

91. Durham Research Online
Department
Biological/
Biomedical
Chemistry
Computer Sciences
Earth Sciences
Engineering
Mathematics
Physics
Psychology
Records Full text
% full Publisher
in DRO deposited text
does not
permit full
text to be
made
available
347
111 31.99
47
398
154
319
595
483
839
409
125
80
73
246
242
534
134
31.41
51.95
22.88
41.34
50.10
63.65
32.76
123
8
36
59
45
96
44
% no OA
permitted
by
publisher
% that could be
achievable to
make OA via
DRO if authors
deposited full
text
13.54
86.46
30.90
5.19
11.29
9.92
9.32
11.44
10.76
69.10
94.81
88.71
90.08
90.68
88.56
89.24

92. Image Credits
[8] Via Flickr Creative Commons, and by jekert gwapo: Available at
http://www.flickr.com/photos/jekert/4412533661/
[9] Via Flickr Creative Commons, and by Darwin Bell: Available at
http://www.flickr.com/photos/darwinbell/1454251440/
[10] Via Flickr Creative Commons, by Nick Wheeler. Available at
http://www.flickr.com/photos/7762644@N04/2295584401
[14-17, 40] Via Flickr Creative Commons, and by 100kr.
Original available here
[14-17, 40] Via Flickr Creative Commons, and by tao_zhyn.
Original available here
[20] Via Flickr Creative Commons, and by Chris Devers.
Original available here
[32,60] Screenshot of video by JohnWiley&Sons: Original © Youtube
available at http://youtu.be/yV91BwY7pr0 under standard YouTube
licence.

93. Image Credits
[38 & 41] Via Flickr Creative Commons, and by geishaboy500. Original
available here
[94] Created using http://photofunia.com/

94. Q&A