Open Access: what is it and what do I need to do? (November 2013) slides. Delivered as part of the Durham University Researcher Development Programme. Further Training available at https://www.dur.ac.uk/library/research/training/

1. Publishing your
Research: Open Access
What is it and what requirements do
you need to meet?
James Bisset james.bisset@durham.ac.uk
Academic Liaison Librarian (Research Support)

2. Session outline
- What is “Open Access”?
- Paywalls, Terminology, Examples
- Why make your research Open Access?
- Benefits for authors / Benefits for readers
- What Open Access requirements are there?
- OA mandates, identifying your options, DRO
- Searching for open access articles
- Repositories, OA Journals, Search engines

3. What is Open
Access ?

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

7. no subscription...
...no login or password

8. Some Open
Access
articles may
also allow full
or limited re-use
of the
content in the
publication...

9. “... 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.

10. http://dro.dur.ac.uk/view/departments/
Via Flickr Creative Commons, by © Stuti Sakhalkar. Original available
at http://www.flickr.com/photos/theblackcanvas/2945878325/
Have a go...
http://www.plosone.org/browse/

13. Why a repository? Why can’t I do what
I want with an article I have written?
- 53% of publishers request a copyright transfer
- 20.8% of publishers request a licence to publish
- 19.6% of publishers request a copyright transfer
would on request provide a licence to publish
document instead
http://www.alpsp.org/Ebusiness/ProductCatalog/Product.aspx?ID=44
Scholarly Publishing Practice 3 (2008).

14. Why a repository? Why can’t I do what
I want with an article I have written?
- Elsevier issued 2,800 take-down notices at articles
hosted by their authors on academia.edu
- Followed by notices to Calgary University & Harvard
University to remove content from their servers.
- Elsevier is within its legal rights to do so.
http://wapo.st/19BbeRx
“How one publisher is stopping academics from sharing their
research” (19 December 2013) Washington Post.

15. Examples

16. Impact Factor = 10.353
- 14th of 290 in Biochemistry & Molecular Biology
- 1st, Cell , allows Green Open Access, no embargo
period & Gold Open Access (Elsevier/Cell Press)
- 4th of 47 in Evolutionary Biology
- 1st, Trends in Ecology and Evolution, allows Green Open
Access, no embargo period (Elsevier/Trends)
- 8th of 161 in Genetics & Hereditary
- 1st, Nature Reviews: Genetics allows Green Open
Access, embargo period of 6 months (Nature)

17. Free to
access &
re-use

19. Author can make
his/her final
peer-reviewed
manuscript free
to access from a
repository
(following 12
month embargo)

20. Impact
Factor =
1.036
Ranked 2nd
in History &
in History of
Social
Sciences.

21. Pay $3000
to go GOLD
Go GREEN
for free (12
month
embargo)

24. Why make your
research
Open Access?

25. “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.

26. “many researchers … in smaller and
less research-intensive institutions
… do not have access to a sufficiently-wide
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.

27. “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.

28. “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

29. “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.

30. “ Every year, JSTOR turns away almost
150 million attempts to gain access
to articles...”
http://bit.ly/1grt1MV
“JSTOR Tests Free, Read-Only Access to Some Articles”
(13 January 2012), Chronicle of Higher Education.

31. why?
“Because the cost of the current publication
system cannot continue to be supported
without change.”

32. “journal prices have risen four
times faster than inflation since
the mid-1980's”
Peter Suber, Research Professor of Philosophy at Earlham College and Director of the
Harvard Open Access Project, quoting research conducted from ARL Statistics 2005-
06, Association of Research Libraries, Washington, D.C.

33. According to The Economist,
Elsevier made $1.1 billion in profit
in 2010 for a profit margin of 36%.
Taylor & Francis’s reported their
own profit margin of 25% in their
2010 Annual report
“The Price of information” Economist Feb. 4th 2012 .
http://www.economist.com/node/21545974
p19 of Taylor and Francis’s annual report and financial statement 2010,
http://www.informa.com/documents/INF2570%20AR10%20cover%20AW05.pdf

34. 2010 Operating Profit Margins
Tesco 5%
News Corp 7%
British Gas 9%
BMW 12%
Coca Cola 22%
Apple 35%
Elsevier 36%
“Why have so many academics decided to boycott Elsevier”
http://www.slideshare.net/scottsne/ecvp2012symposiumslideshare

36. why?
“Because it can boost the visibility and
broaden access to your research.”

37. Benefits for authors...
• 4633 articles across ecology, applied
mathematics, sociology and economics.
• 2280 were open access, and had an
average citation count of 9.04
• 2353 were subscriptions journals, and had
an average citation count of 5.76.
Norris, M. (2008) “The citation advantage of open access articles” Thesis. Available
at https://dspace.lboro.ac.uk/2134/4089

38. Benefits for authors...
Terras, M. (2011) “What happens when you tweet an Open Access Paper” Melissa
Terras’ Blog. Available at http://melissaterras.blogspot.co.uk/2011/11/what-happens-
when-you-tweet-open-access.html

39. Benefits for authors...
By October 2012, the OA
version had seen nearly 3
times more downloads than
the version sitting behind a
subscription paywall.
Terras, M. (2011) “What happens when you tweet an Open Access Paper” Melissa
Terras’ Blog. Available at http://melissaterras.blogspot.co.uk/2011/11/what-happens-
when-you-tweet-open-access.html

40. Benefits for authors...
“My gold access papers have huge downloads,
one staying in the top 20 for over 3 months”
Dr David Selby, Department of Earth Sciences, Durham University (January 2014)
“the editor of the journal has emailed me to
tell me that my article has been one of the
most downloaded in that year”
Dr Andy Byford, School of Modern Languages and Cultures, Durham University
(August 2014)

41. Benefits for authors...
“"I am still surprised and continually
delighted to find many of my works in
DRO have been downloaded by far more
people than ever bought the volumes.”
Dr Michael Crang, Department of Geography, Durham University
http://dro.dur.ac.uk/testimonials/

42. why?
“Because people want to read it and use it but
they aren’t able to.”

43. Why High School Students Need Access to Research:
http://youtu.be/prTHDfqP_ng

45. why?
“Because it can boost the visibility and
broaden access to your research.”

46. Because the cost of the current publication
system cannot continue to be supported
without change.
Because it can boost the visibility and broaden
access to your research.
Because people want to read it and use it but
they aren’t able to.
Because you can.

47. concerns?
Via Flickr Creative Commons, by © Stuti Sakhalkar. Original available
at http://www.flickr.com/photos/theblackcanvas/2945878325/

48. What Open Access
requirements are
there?

49. Things to do...
• If your research is funded, check what the
funder requires..
• Also check what your employer, or any national
assessments require...
• Once you have identified how you want to
publish your research, and where, check what
options that publisher allows.
• Once you have publications accepted, make
sure you do what is needed to make your
publications open access.

50. Required: 1

51. Check the
requirements
of your funder

52. 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

53. Example policy:
RCUK Policy

54. 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;

55. 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.“
or...
[GREEN] permit the author to deposit their "final Accepted
Manuscript in any repository, without restriction on non-commercial
re-use and within a defined period. No APC will be
payable to the publisher."

56. Clarifications:
Green Gold
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

57. Required: 2

58. Check the requirements of
your institution

59. Durham University Policy
• Durham Open Access Policy
http://dro.dur.ac.uk/du_oa_policy_summary.pdf
“Authors must provide an electronic copy of all peer-reviewed journal
articles and conference papers published since 1st January 2013
within 3 months of acceptance for publication for deposit in Durham
Research Online (DRO)”
“Publications referred to for consideration in promotion applications:
where published since 1st January 2013 the author’s final peer-reviewed
manuscript must have been deposited in DRO”

60. Required: 3

61. Post-2014 REF

62. “Outputs submitted to the post-2014 REF must
be made available in an open-access form”
- applies to journal articles & conference
proceedings
- accepted for publication after 1st April 2016
- deposit the published version or final
peer-reviewed manuscript in a repository
“no later than 3 months after acceptance”.
- maximum embargo of 12 months (24
months for social sciences & humanities)

63. Failure to comply:
Will be given an
unclassified score in the
REF

64. Have a go...
• http://www.sherpa.ac.uk/juliet/ - identify research funder policies
• http://roarmap.eprints.org/ - identify institutional OA policies
• http://bit.ly/12SOYCw - Open Access pages (Durham) inc. REF info
Via Flickr Creative Commons, by © Stuti Sakhalkar. Original available
at http://www.flickr.com/photos/theblackcanvas/2945878325/

65. What are you permitted
to do, and who’s
permission do you
need?

66. Check what
options your
journal offers /
the terms of any
publishing
agreement.
- Sherpa/Romeo
- Journal/Publisher
agreement and guidelines

67. Your journal / publisher does not
permit self-archiving or offer a
paid open access option?
Ask them – it is your research.
You may be able to negotiate (esp
if your funder requires you to
take action).

68. Have a go...
• http://www.sherpa.ac.uk/romeo/ - identify journal’s green OA terms
• http://www.sherpa.ac.uk/fact/ - identify gold/green OA options
• http://www.doaj.org/ - Directory of Open Access Journals
• http://bit.ly/THxAsz - Beall’s List of Predatory Publishers
• have a look at some journals/publishers in your field
Via Flickr Creative Commons, by © Stuti Sakhalkar. Original available
at http://www.flickr.com/photos/theblackcanvas/2945878325/

69. Durham Research
Online (DRO)

70. Durham Research Online
http://dro.dur.ac.uk/depositors/dro_depositguide.pdf

71. Durham Research Online
• 12,508 records in DRO
- 5,903 full text (47%)
- 282 further records embargoed (2%)
• 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.

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

73. Support at Durham
• Checking compliance of journals (library)
• Managing and maintaining Durham
Research Online (Durham’s institutional
repository)
• RCUK Block Grant (£276,578 for
2013/14, £325,386 for 2014/15)
• Reporting back to RCUK/HEFCE

74. Searching for OA
research

76. Concerns /
Q & A

77. Image Credits
[6] Via Flickr Creative Commons, and by jekert gwapo: Available at
http://www.flickr.com/photos/jekert/4412533661/
[7] Via Flickr Creative Commons, and by Darwin Bell: Available at
http://www.flickr.com/photos/darwinbell/1454251440/
[51] Via Flickr Creative Commons, and by Chris Devers: Available at
http://www.flickr.com/photos/cdevers/5128003102/
[11-12] Via Flickr Creative Commons, by 110kr and tao_zhyn. Available at
http://www.flickr.com/photos/tao_zhyn/442965594/in/photostream/ and
http://www.flickr.com/photos/100kr/209708058/in/photostream/
[8] Via Flickr Creative Commons, by Nick Wheeler. Available at
http://www.flickr.com/photos/7762644@N04/2295584401
[Slides 78-81] Vitae®, © 2010 Careers Research and Advisory Centre
(CRAC) Limited‘ Available at www.vitae.ac.uk/rdf

78. Measuring
Researcher
Development

79. Measuring
Researcher
Development

80. Measuring
Researcher
Development

81. Measuring
Researcher
Development